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DRAFT EDGAR Filer Manual (Volume II)

This draft Filer Manual, 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 prepare for potential changes the staff anticipates. Since this is a draft manual, the SEC retains the right to change any part of the manual before the new system release is made final. In addition, the final EDGAR Filer Manual (Volume II) (Version 20) is subject to Commission approval and may be revised before approval or not approved at all. Similarly, the posting of the draft manual does not indicate Commission approval of any pending proposed changes relating to the potential changes reflected in the draft manual. The final version of the manual will be made available as and if approved by the Commission, on the SEC's Public Website.

Changes to the DRAFT EDGAR Filing Manual (Volume II) - General Information (Version 20) are being made to update the filer manual to reflect changes scheduled to be implemented on July 2, 2012.

On July 2, 2012, EDGAR Release 12.1 will introduce the following changes:

  • EDGAR will be updated to support submission of confidential draft registration statements for companies that qualify either under the JOBS Act or the Division of Corporate Finance's foreign private issuer policy. Draft registration statements and amendments must be submitted using submission form types DRS and DRS/A. These confidential submission types can be accessed from the EDGAR Filing website, by selecting the "Draft Reg. Statement" link.
  • EDGAR will assign a unique Large Trader identification ("LTID") number to any person or entity that files a new Form 13H initial filing. The acceptance email notification that EDGAR sends to the filer will include the assigned LTID number. On future 13H-A and 13H-Q filings, the system will pre-populate the previously assigned LTID number which will be unalterable by the registrant.
  • Form 13H's Taxpayer Identification Number field will accept a nine-digit Social Security Number if a filer does not have a ten-digit Taxpayer Identification Number without requiring the filer to use a placeholder digit.
  • Form Item 1(a), if filers indicate Investment Adviser as their business, they can further indicate their type of advisory business to involve "Registered Investment Companies" and/or "Hedge Funds or other Funds not registered under the Investment Company Act." This field, which currently allows only one of these two options to be selected, will now allow both options to be selected.
  • OMB Number and the Paperwork Reduction Act Disclosures on the Instructions page of Form 13H will be updated.
  • EDGAR will no longer support US GAAP Taxonomy 1.0, US Financial Reporting Taxonomy Framework (USFRTF) 2005, US GAAP Taxonomy 2009, US Schedule of Investments (SOI) Taxonomy 2008, Risk Return Taxonomy 2008, and Risk Return Taxonomy 2006.
  • Form D screens and instructions will be updated for Item 6 to replace the reference to "Securities Act Section 4(6)" with "Securities Act Section 4(5)" as per Rule 33-9287.
  • The OMB expiration date will no longer be displayed on the Forms TA-1, TA-2, TA-W, and 25-NSE. These forms will continue to display other OMB Approval information.
  • Forms 3, 4, and 5 will no longer refer to Public Utility Holding Company Act (PUHCA).
  • Filers will be able to view their account balance along with the date and amount of their most recent deposit. Files will also able to view their account activity statement for the previous twelve months. Additionally, filer will be able to request return of unused funds. These options will be available on the 'Retrieve/Edit Company and Submission Data' functionality of the EDGAR Filing website.

You may download the DRAFT EDGAR Filing Manual (Volume II) EDGAR Filing (Version 20) by clicking the following link. To assist filers in the identification of the draft changes, we have provided a redlined version of Volume II.



Modified: 06/01/2012