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EDGAR Form TA-1 XML Technical Specification
(Version 3.2.0)

EDGAR Form TA-2 XML Technical Specification
(Version 3.2.0)

EDGAR Form TA-W XML Technical Specification
(Version 1)

The EDGARLite application aids filers in creating and submitting XML-encoded submissions. The first series of forms to be implemented using this application are Transfer Agent forms TA-1, TA-2, and TA-W (and their respective amendments). For details regarding use of the EDGARLite application, please refer to the EDGAR Filer Manual (Volume II) EDGAR Filing.

For filers interested in creating Transfer Agent XML forms without using the EDGARLite tool, the SEC provides XML Technical Specifications: EDGAR Form TA-1 XML Technical Specification (Version 3.2.0), EDGAR Form TA-2 XML Technical Specification (Version 3.2.0), and EDGAR Form TA-W XML Technical Specification (Version 1). These specifications include documents giving general descriptions and instructions about the XML file being created, the schema files containing the taxonomy that must be used, and stylesheets. Please review the EDGAR Filer Manual (Volumes I, II) for information regarding Transfer Agent forms before you begin.

On February 4, 2008, EDGAR was upgraded to Release 9.9 which implemented changes Forms TA-1 and TA-2. Those changes are described below.

Modification for Form TA-1

Change	Correct versioning information and details within the "README.TXT" files for TA-1 and TA-2
Description	There was a minor error with the information supplied about the <formVersion> tag as described on page 3-4 of the “Form TA-1 XML Technical Specification” document. It indicated that the field has an unlimited maximum length. However, the actual maximum length of the “<formVersion>” tag is 5.
Change Impact to Filers	Filers who create their own XML files will not be impacted. Filers that use the EDGARLite Form TA-1 Submission Template must download and utilize the new template. Any attempt to submit a Form TA-1 or its variant with an older template will result in suspension of the filing.
Form Versioning Information	The TA form versions are based on the versions of the schema and stylesheet version numbers found under “Version:” in the schema file. <?xml version="1.0"?> <!-- Filename: [name of the schema file] --> <!-- Purpose: [description of the schema] --> <!-- Version: X[2-digit schema version][2-digit stylesheet version] --> The README.txt file and the version of the InfoPath Form should reflect the Schema version as mentioned above. As of Release 9.9, the TA-1 and TA-2 schemas are the same, X0302 (schema version 03, stylesheet version 02). Thus, the README.txt and InfoPath Form versions have been updated to be 3.2.0.

Modifications for Form TA-2

Change	Correct versioning information and details within the "README.TXT" Files for TA-1 and TA-2
Description	There was a minor error with the information supplied about the “<formVersion>” element as described on page 3-4 of the “Form TA-2 XML Technical Specification” document. It indicated that this element has an unlimited maximum length. However, the actual maximum length of the “<formVersion>” element is 5.

Form TA-2 Schema Change #1

Change	TA-2 Question #5 to Accept Fractional Values
Description	The Form TA-2 will now allow the filers to input decimal numbers for the following fields of the Question 5(d): 5(d)(i) Corporate Equity Securities, 5(d)(ii) Corporate Debt Securities, 5(d)(iii) Open-Ended Investment Company Securities, 5(d)(iv) Limited Partnership Securities, 5(d)(v) Municipal Debt Securities and 5(d)(vi) Other Securities
XML Change #	1
XML Change Type	Element type change and update to minimum and maximum values. The included example files have been updated to use fractional values.
XML Change Description	Change the PERCENTAGE_TYPE restriction from integer to decimal. Update the “minInclusive” and “maxInclusive” values to reflect the change in type, i.e. 0.00 and 100.00. This can be seen on pages 3-5 and 3-6 of the “Form TA-2 XML Technical Specification” document.
XML Stylesheet Change	N/A
XML Change Uses	The following XML elements of the “serviceCompanyData” -> “securityHolderAccounts” node utilize the “PERCENTAGE_TYPE” to validate their values: “equitySecurity”, “debtSecurity”, “openEndInvestmentCompany”, “limitedPartnership”, “municipalDebt”, “Other”. This is denoted on pages 3-5 and 3-6 of the “Form TA-2 XML Technical Specification” document.
XML Change Impact to Filers	Filers who create their own XML files based on the new schema will not be impacted. They can simply begin to represent the new values with fractional amounts. Filer generated submissions that do not have fractional representations of the values will be accepted as usual. Filers that use the EDGARLite Form TA-2 Submission Template must download and utilize the new template. Any attempt to submit a Form TA-2 or its variant with an older template will result in suspension of the filing.

You may download the TA-1, TA-2, and TA-W XML Technical Specifications by clicking the following links.

	Download the EDGAR TA-1 Technical Specification (Version 3.2.0) (compressed folder) (UPDATED 02/04/08)
	Download the EDGAR TA-2 Technical Specification (Version 3.2.0) (compressed folder) (UPDATED 02/04/08)
	Download the EDGAR TA-W Technical Specification (Version 1) (compressed folder)

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

EDGAR Form TA-1 XML Technical Specification (Version 3.2.0)

EDGAR Form TA-2 XML Technical Specification (Version 3.2.0)

EDGAR Form TA-W XML Technical Specification (Version 1)