Notice to EDGAR Form 13F Filers

Notice to EDGAR Form 13F Filers

The Commission is modernizing the submission of Form 13F.

Beginning on Monday April 29, 2013, filers must file their Form 13F using the online form that will be available on the EDGAR Filing Website and construct their Information Table according to the EDGAR XML Technical Specification. Filers may also choose to construct their entire Form 13F filing according to the EDGAR XML Technical Specification. Filings made after 5:30 p.m. on Friday April 26, 2013 using the current format (text based ASCII) will be suspended. “Appendix G. Form 13F Special Electronic Filing Instructions” will be removed from the EDGAR filing manual.

Filers should be aware of the following:

  • The new application will not be available for viewing or testing prior to deployment.
     
  • Form 13F and its instructions have not been amended. Filers should continue to answer each question as they have in the past. Refer to the EDGAR Filer Manual for important information on entering data into the new application.
     
  • Once the new Form 13F is online it will govern all 13F filings, including amendments that need to be made for prior quarters. Filings can be viewed at: http://www.sec.gov/edgar/searchedgar/webusers.htm. Check to see that prior filings are complete with a cover page, summary page, and information table and that the information table has appropriate formatting and headings.
     
  • The draft technical specifications are located on the “Information for EDGAR Filers” page of the SEC website at: http://www.sec.gov/info/edgar.shtml.
     
  • The EDGAR Filer Manual — Volume II provides an overview of the online filing process and the new Form 13F application. The instructions for filing Form 13F are included in Chapter 9 of this volume. The draft manual may be obtained at: http://www.sec.gov/info/edgar/edmanuals-vol2-23_d.htm.
     
  • Once deployed, filers will be able to access the new Form 13F application by selecting the "File Form 13F" link from the menu of Online Forms on the EDGAR Filing website (https://www.edgarfiling.sec.gov).

If you have any questions on the Form 13F filing process please contact the Division of Investment Management’s Chief Counsel’s Office Inquiry Line (202-551-6865). If you have questions about XML or other technical issues please contact Technical Support at (202) 551-8900, Option #3.