Draft EDGAR Form ATS-N XML Technical Specification (Version 1.1)

Implementation Date: March 11, 2019

TThis draft EDGAR Form ATS-N XML Technical Specification, posted before Commission approval of potential regulatory changes in this release, is provided as a service to our filing community to assist filers, agents, and software developers in their preparation of responses to potential changes the staff anticipates. Since this is a draft technical specification, the SEC retains the right to change any part of the technical specification before the new system release is made final. In addition, the final Form ATS-N XML Technical Specification is subject to Commission approval and may be revised before approval or not approved at all. Similarly, the posting of the draft technical specification does not indicate Commission approval of any pending proposed changes relating to the potential changes reflected in the draft technical specification. The changes outlined in this draft technical specification, if approved, are scheduled to take effect on March 11, 2019. The final version of the technical specification will be made available if approved by the Commission on or about March 11, 2019, on the SEC's Public Website.

The Form ATS-N submission file must conform to the EDGAR Form ATS-N Submission Taxonomy for the EDGAR system. This taxonomy comprises a collection of XML Schema Definition (.xsd) files that defines the structure of EDGAR Form ATS-N submissions.  The Form ATS-N XML submissions can be transmitted to the SEC via the ‘Transmit’ link on the EDGAR FilerWeb (https://www.edgarfiling.sec.gov/) or the ‘Transmit XML Submission’ link on the EDGAR OnlineForms/XML Website (https://www.onlineforms.edgarfiling.sec.gov).

EDGAR Release 19.1 will introduce the following changes:

  • Changes to Stylesheets:
    • Added hyperlinks header list - display paragraphs for the corresponding free-form texts in Part II and Part III
    • Added the Form ATS-N Contents list of headings in the rendered stylesheet
    • ATS-N-W.XSL and ATS-N_W_Z01_secgov.XSL files are modified to render accession number of the initial ATS-N submission
    • ATS-N.XSL and ATS-N_Z01_secgov.XSL files are modified to show “Hours of Operations” instead of “Hours of Operation” in Part III Item IV of initial ATS-N and ATS-N Amendment forms
  • In Section 3.4:
    • Updated “taStatementAboutAmendment” to have a max length of 2000
    • Replaced “taPart3Item7AOrdrTypOfrdIPriority” with “taPart3Item7AOrdrTypExplain”

No changes were made to the schemas.