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EDGAR Filer Manual (Volumes I - III)

The current version of the EDGAR Filer Manual Volumes I - III can be downloaded from the links below.

EDGAR Filer Manual (Volume I) General Information (Version 19)
Updated: December 2014

Volume I, General Information, covers the EDGAR application process, outlines how to keep company data current and provides a brief introduction to the filing process. Volume I is intended to be a reference for those that need to obtain EDGAR access, those that are new to EDGAR and those that are responsible for keeping company information current.

Volume I was revised to support:

  • A new exhibit type EX-1.01 will be available on EDGARLink Online for submission form types SD and SD/A. Filers that are filing a Conflict Minerals Report should specify Item 1.02 on a Form SD or SD/A submission and attach the Conflict Minerals Report as EX-1.01 in official ASCII or HTML format. Exhibit type EX-1.02, which was previously allowed on an SD and SD/A submission, will no longer be available on EDGARLink Online or accepted by EDGAR.
  • Submission form type 13H-A will restrict the "Calendar Year Ending" value to a year that is prior to the current calendar year.
  • The EDGAR automated submission notification email for a 13H-A submission form type will inform the filer that the 13H-A submission received was for an annual filing or a combined annual and fourth quarter filing.
  • Form TA-2 and its amendment will be updated to remove "Office of Thrift Supervision" as an option for Item 3(a) - Registrant's appropriate regulatory agency (ARA). Filers must download the latest template to file Form TA-2 and its amendment using the 'EDGARLite Submission Templates' link on the EDGAR OnlineForms Management Website.
     
    Transfer Agents with file numbers in the range 085-15000 to 085-19999 must now select "Comptroller of the Currency" instead of "Office of Thrift Supervision" as the registrant's appropriate regulatory agency on Form TA-2 and its amendment. In addition, EDGAR will suspend filer-constructed submissions of Form TA-2 and its amendment with "Office of Thrift Supervision" (OTS) as the value for the registrant's appropriate regulatory agency. Please refer to the "EDGAR Form TA-2 Technical Specification" document for details.
  • Validations for Item 5 of Form TA-2 and its amendment will be updated as follows. If the response for Item 2(a) is "Some" or "None" and the value for Item 5(a) is:
    • equal to zero, then the total of Items 5d(i) to 5d(vi) must be equal to 0%.
    • greater than zero, then the total of Items 5d(i) to 5d(vi) must be equal to 100%.
  • The EDGAR automated submission notification emails for Form D submissions will include the web address of the Electronic Filing Depository (https://efdnasaa.org) to enable Form D filers to fulfill their state filing obligations.
  • The EDGAR Portal will be updated to include a new option, "Do you need more information?" that links to the 'Guidance for Filers and FAQs' section on the SEC's Public Website (www.sec.gov). In addition, the 'Access Notes' section on the EDGAR Portal will include contact information for EDGAR Filer Support.

EDGAR Filer Manual (Volume II) EDGAR Filing (Version 29)
Updated: December 2014

EDGAR Filer Manual (Volume II), EDGAR Filing, focuses entirely on the filing process. It illustrates each step of the process to submit an electronic submission and helps filers understand the tools provided by the SEC for constructing and transmitting those submissions. This volume is intended to be a reference for those that are responsible for submitting filings to the SEC via the EDGAR system.

Volume II was revised to support:

  • A new exhibit type EX-1.01 will be available on EDGARLink Online for submission form types SD and SD/A. Filers that are filing a Conflict Minerals Report should specify Item 1.02 on a Form SD or SD/A submission and attach the Conflict Minerals Report as EX-1.01 in official ASCII or HTML format. Exhibit type EX-1.02, which was previously allowed on an SD and SD/A submission, will no longer be available on EDGARLink Online or accepted by EDGAR.
  • Submission form type 13H-A will restrict the "Calendar Year Ending" value to a year that is prior to the current calendar year.
  • The EDGAR automated submission notification email for a 13H-A submission form type will inform the filer that the 13H-A submission received was for an annual filing or a combined annual and fourth quarter filing.
  • Form TA-2 and its amendment will be updated to remove "Office of Thrift Supervision" as an option for Item 3(a) - Registrant's appropriate regulatory agency (ARA). Filers must download the latest template to file Form TA-2 and its amendment using the 'EDGARLite Submission Templates' link on the EDGAR OnlineForms Management Website.
     
    Transfer Agents with file numbers in the range 085-15000 to 085-19999 must now select "Comptroller of the Currency" instead of "Office of Thrift Supervision" as the registrant's appropriate regulatory agency on Form TA-2 and its amendment. In addition, EDGAR will suspend filer-constructed submissions of Form TA-2 and its amendment with "Office of Thrift Supervision" (OTS) as the value for the registrant's appropriate regulatory agency. Please refer to the "EDGAR Form TA-2 Technical Specification" document for details.
  • Validations for Item 5 of Form TA-2 and its amendment will be updated as follows. If the response for Item 2(a) is "Some" or "None" and the value for Item 5(a) is:
    • equal to zero, then the total of Items 5d(i) to 5d(vi) must be equal to 0%.
    • greater than zero, then the total of Items 5d(i) to 5d(vi) must be equal to 100%.
  • The EDGAR automated submission notification emails for Form D submissions will include the web address of the Electronic Filing Depository (https://efdnasaa.org) to enable Form D filers to fulfill their state filing obligations.
  • The EDGAR Portal will be updated to include a new option, "Do you need more information?" that links to the 'Guidance for Filers and FAQs' section on the SEC's Public Website (www.sec.gov). In addition, the 'Access Notes' section on the EDGAR Portal will include contact information for EDGAR Filer Support.

EDGAR Filer Manual (Volume III) N-SAR Supplement (Version 4)
Effective Date: October 2014

EDGAR Filer Manual (Volume III), N-SAR Supplement, is the guide for preparing the electronic submission of Form N-SAR.

Volume III was revised to support the following changes to EDGAR:

  • " The Login and Frequently Asked Questions (FAQ) screens for all EDGAR websites, the EDGAR Portal, and the EDGAR Company Database will be updated to specify Internet Explorer 8.0 as the recommended browser and Firefox 24.x as an additionally compatible browser.
  • " Section 2.1 of the "EDGAR Filer Manual, Volume III: N-SAR Supplement" has been revised to update the N-SAR hardware and software requirements. (Note: The procedure for filing Form N-SAR, the Semi-Annual Report for Registered Investment Companies has not changed.)

 

 

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


Modified: 12/15/2014