EDGAR Form TA-1 XML Technical Specification
EDGAR Form TA-2 XML Technical Specification
EDGAR Form TA-W XML Technical Specification
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 4.2.1), 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 September 15, 2008, EDGAR was upgraded to Release 9.13 which implemented changes to Form TA-2. Those changes are described below.
Modifications for Form TA-2
- The data constraints for response fields displayed for Question 1(h) (Full Name of Registrant as stated in Question 3 of Form TA-2) and Question 3(a) (Registrants Appropriate Regulatory Agency) were corrected to be a single field and a picklist, respectively, when the "check to show blank form for printing" option is selected.
- The schema for TA-2 form is updated to show Question 11(a) (i) (Date of Database Search) as optional. Hence the date element accepts null or blank value. But the invalid date causes SUSPENSE error.
- The Name, Title, Description and Address field values of categories <registrantType>, <ServiceCompanyTransferAgent> and <Signature Data> elements are validated for invalid ASCII characters. The function isASCII does the validation. The fields being validated are listed below.
- Question 1(f)(i) (Contact Name)
- Question 1(h) (Full Name of Registrant as stated in Question 3 of Form TA-1)
- Question 2(b)(i) (Name of Transfer Agent(s))
- Question 2(d)(i) (Name of Transfer Agent(s))
- Question 3(c) (If the answer to subsection (b) is no, provide an explanation)
- Question 8(d) (If the answers to subsection (c) is no, provide an explanation for each failure to file)
- Question 12(a) (Signature of Official responsible for Form)
- Question 12(c) (Title of Signing Officer)
- Question 13(a) (File Name)
- Question 13(d) (Attachment Description)
- The formTA-2Submission.xsd schema file has been updated as a result of the modifications outlined above, and the schema version has been updated to 4.2.1.
You may download the TA-1, TA-2, and TA-W XML Technical Specifications by clicking the following links.