U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

EDGAR XFDL Technical Specification (Version 5)

Effective: December 17, 2007

In support of EDGAR Release 9.8 (effective December 17, 2007), updates were made to the EDGAR XFDL Technical Specification. This version of the document is labeled Version 5. The revised specification is currently available via the links that appear at the end of this document.

The EDGAR XFDL Technical Specification (Version 5) provides, to those filers that are interested, a basis for creating XFDL filings without the use of the EDGARLink. The expectation is that software developers, working on behalf of filers, will construct software that will generate an XFDL filing that can be successfully parsed by the EDGAR Receipt Server.

This release introduces updates to submission Template 1, Template 3, and EDGARLink software that are based on recent SEC changes and rulemaking activities. These updates are being made primarily to support the rules and forms proposed by the Commission to address (1) the electronic submission on EDGAR of applications for orders under any section of the Investment Company Act of 1940 and Regulation E filings by Small Business Investment Companies (SBIC's) and Business Development Companies (BDC's) and (2) Smaller Reporting Company regulatory relief and simplification.

Changes By Template

A summary of the changes are as follows (please refer to the appendices that appear in the XFDL specification for details):

Template 1

  1. In order to support allowing a filer to declare they are a Small Reporting company, the new SubFiler_smallBusinessFlag field is required for the following submission types:
     
    S-1, S-1/A, S-1MEF, S-3, S-3/A, S-3D, S-3DPOS, S-3MEF, S-8, S-8POS, S-4, S-4POS, S-4/A, S-4EF, S-4EF/A, S-4MEF, S-11, S-11/A, S-11MEF

Template 3

  1. The following submission types were added to Template 3 to immediately support (1) the voluntary electronic submission on EDGAR of applications for orders under any section of the Investment Company Act of 1940 and Regulation E filings by Small Business Investment Companies (SBIC's) and Business Development Companies (BDC's):
     
    1-E, 1-E/A, 1-E AD, 1-E AD/A, 2-E, 2-E/A, 40-APP, 40-APP/A, 40-6B, 40-6B/A, 40-OIP, 40-OIP/A
     
  2. The following additional submission type is allowed in the SubTable_submissionType_ field:
     
    1-E, 1-E/A, 1-E AD, 1-E AD/A, 2-E, 2-E/A, 40-APP, 40-APP/A, 40-6B, 40-6B/A, 40-OIP, 40-OIP/A
     
  3. In order to support allowing a filer to declare they are a Small Reporting company, the new SubFiler_smallBusinessFlag field is required for the following submission types:
     
    10-K, 10-K/A, 10-KT, 10-KT/A, 10-Q, 10-Q/A, 10-QT, 10-QT/A, 10-12B, 10-12B/A,10-12G,10-12G/A

There are two components to the specification. The first is the specification itself, which contains details about the release, general instructions on the templates, general rules about the XFDL file being created, and specific rules on the XFDL nodes containing data elements. It also includes information regarding the content of the appendices and some sample documents. The appendices document gives specific requirements for each form type.

You may download the EDGAR XFDL Technical Specification (Version 5) by clicking the following links.

The Appendices were updated to reflect a "5" for the SubFiler_fileNumber_, and SubCoreg_fileNumber_ on Form types 40-OIP, 40-6B, 40-APP, and 1-E.

*   Download the EDGAR XFDL Technical Specification (Version 5) (PDF File)
 
*   Download the EDGAR XFDL Technical Specification (Version 5) Appendices (Microsoft Excel file)

 

http://www.sec.gov/info/edgar/edgarxfdl98.htm


Modified: 12/21/2007