Draft EDGAR Form TA XML Technical Specification (Version 1.4)

Implementation Date: September 30, 2019

This draft EDGAR Form TA 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 TA 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 September 30, 2019. The final version of the technical specification will be made available if approved by the Commission on or about September 30, 2019, at sec.gov.

The Form TA submission file must conform to the EDGAR Form TA Submission Taxonomy for the EDGAR system. This taxonomy comprises a collection of XML Schema Definition (.xsd) files that defines the structure of EDGAR Form TA submissions. The Form TA 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 19.4 will introduce the following change:

  • The following unused mode attributes were removed from the stylesheets below that had warnings and error messages in the webserver operating system:
    • TA-1_item2.xsl
      • mode="_corporationPartnershipData"
      • mode="_soleProprietorshipOtherData"
      • mode="_otherControlManagementDetails"
      • mode="_otherControlFinanceDetails"
    • TA-1_item3.xsl
      • mode="_felonyOrMisdemeanorDetails"
      • mode="_otherFelonyDetails"
      • mode="enjoinedInvestmentRelatedActivityDetails"
      • mode="_violationOfInvestmentRelatedRegulationDetails"
      • mode="_falseStatementOrOmissionDetails"
      • mode="_violationOfRegulationsDetails"
      • mode="_authorizationDeniedOrSuspendedDetails"
      • mode="_registrationDeniedOrSuspendedDetails"
      • mode="_fsrFalseStatementOrOmissionDetails"
      • mode="_fsrViolationOfInvestmentRelatedRegulationDetails"
      • mode="_fsrAuthorizationDeniedOrSuspendedDetails"
      • mode="_fsrFoundOrderAgainstApplicantDetails"
      • mode="_fsrRegistrationDeniedOrSuspendedDetails"
      • mode="_fsrRevokedSuspendedLicenseDetails"
      • mode="_sraFalseStatementOrOmissionDetails"
      • mode="_sraViolationOfRulesDetails"
      • mode="_sraAuthorizationDeniedOrSuspendedDetails"
      • mode="_sraRevokedSuspendedLicenseDetails"
      • mode="_foreignAgencyDetails"
      • mode="_subjectOfProceedingsDetails"
      • mode="_revokedBondDetails"
      • mode="_unsatisfiedJudgementOrLiensDetails"

There are no schema changes.