Draft EDGAR Filer Manual (Volume II) EDGAR Filing (Version 36)

Implementation Date: April 2016

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 in their preparation of responses to 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 36) 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 changes outlined in this draft manual, if approved, are scheduled to take effect on April 25, 2016 for non-rule based changes or on the rule effective date for changes related to SEC rules. See SEC Final Rules posted on the SEC's Public Website for information on the rule effective date. The final version of the manual will be made available, if approved by the Commission, on or about April 25, 2016, on the SEC's Public Website.

Changes to the Draft EDGAR Filer Manual (Volume II) EDGAR Filing (Version 36) are being made to update the filer manual to reflect changes scheduled to be implemented on April 25, 2016.

EDGAR Updates

On April 25, 2016, EDGAR Release 16.1 will introduce the following changes:

  • Pursuant to Section 764 of the Dodd-Frank Act, Security-based Swap Dealers and Major Security-based Swap Participants can now register and withdraw from registration with the Commission using the following submission form types:
    • SBSE: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants
    • SBSE/A: Amendment to an Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants
    • SBSE-A: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer or Major Swap Participant
    • SBSE-A/A: Amendment to an Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer or Major Swap Participant
    • SBSE-BD: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers
    • SBSE-BD/A: Amendment to an Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers
    • SBSE-C: Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants
    • SBSE-W: Request for Withdrawal from Registration as a Security-based Swap Dealer or Major Security-based Swap Participant
    These submission form types can be accessed by clicking the "File SBS Entity Forms" link on the EDGAR Filing Website. Additionally, filers can construct XML submissions for SBSE, SBSE/A, SBSE-A, SBSE-A/A, SBSE-BD, SBSE-BD/A, SBSE-C, and SBSE-W by following the "EDGAR SBS Entity Forms XML Technical Specification" document located on the SEC's Public Website (http://www.sec.gov/info/edgar.shtml).
  • Pursuant to the Securities Exchange Act of 1934 under Rules 17h-1T and 17h-2T thereof, broker-dealers will now be required to submit the Risk Assessment Report for Brokers and Dealers Form 17-H via EDGAR using the following submission form types:
    • 17HACON: Confidential broker dealer annual 17-H report
    • 17HACON/A: Pre-effective amendment for confidential broker dealer annual 17-H report
    • 17HQCON: Confidential broker dealer quarterly 17-H report
    • 17HQCON/A: Pre-effective amendment for confidential broker dealer quarterly17-H report
    These submission form types can be accessed by clicking the "File 17-H" link on the EDGAR Filing Website. Additionally, broker-dealers can construct XML submissions for 17HACON, 17HACON/A, 17HQCON, and 17HQCON/A by following the "EDGAR Form 17-H XML Technical Specification" document located on the SEC's Public Website (http://www.sec.gov/info/edgar.shtml).
  • The "Current Number of Employees" field on the "Disclosure Requirements" screen of submission form types C, C/A, and C-U has been updated to permit a value of zero in addition to the currently allowable numeric values.

On March 7, 2016, EDGAR Release 16.0.3 introduced the following change: