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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 21) 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 21) are being made to update the filer manual to reflect changes scheduled to be implemented on October 1, 2012.

  • Issuers who submit draft registration statements for confidential, non-public review will have an ability to publicly disseminate previously submitted drafts by selecting the 'Draft Reg. Statement' link on the EDGAR Filing Website.
  • Issuers must submit their correspondences related to draft registration statements using the new submission type, 'Correspondence Related to Draft Registration Statement' (DRSLTR). This submission type can be accessed by selecting the 'Draft Reg. Statement' link on the EDGAR Filing Website.
  • Filers will now be able to submit, on a voluntary basis, copies of litigation documents pursuant to Section 33 of the Investment Company Act of 1940 (submission types 40-33 and 40-33/A) in Portable Document Format (PDF) as an official filing format. EDGAR will continue to allow ASCII and HTML as official filing formats for submission types 40-33 and 40-33/A.
  • Submission form types 8-K, 8-K/A, 8-K12B, 8-K12B/A, 8-K12G3, 8-K12G3/A, 8-K15D5, and 8-K15D5/A will allow a future period date up to the next business date from the date of submission, if the time of submission is between 5:31 p.m. and 10:00 p.m. Eastern Time.
  • Starting October 1, 2012, filers initiating FEDWIRE transactions to make deposits to pay their filing fees will need to use a new US Treasury beneficiary account number (850000001001), as well as a new American Bank Association (ABA) number and bank name for the receiving bank (021030004/TREAS NYC). The current bank account number (152307768324) and receiving bank ABA number and name (081000210/US BANK) will be invalid from this date forward. Filer may obtain the new US Treasury account number and ABA number from the notice posted on the "Information for EDGAR Filers" web page prior to October 1, 2012 and by accessing the updated "Instructions for Wire Transfer (FEDWIRE) and Check Payment of SEC Filing Fees" by logging onto the EDGAR Filing Website and accessing the 'Fees' link on the EDGAR menu thereafter.
  • The new online version of Form N-SAR, originally planned for deployment on July 9, 2012, has been delayed and will not go into production any sooner than January 14th 2013. The specific deployment date will be announced.

You may download the DRAFT EDGAR Filing Manual (Volume II) EDGAR Filing (Version 21) 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: 09/28/2012