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 4)
Effective Date: August 20, 2007
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 has been revised to update Section 2.6 “Getting Help with EDGAR”.
EDGAR Filer Manual (Volume II) EDGAR Filing (Version 7)
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 has been revised to reflect updates previously made to the EDGAR system. The revisions were made primarily to reflect the United States Department of Treasury’s Financial Management Service’s (FMS) designation of U.S. Bank of St. Louis, Missouri as the new Financial Agent for General Lockbox Services for the Commission. U.S. Bank assumed this responsibility from Mellon Bank effective February 4, 2008. In addition, the revisions included a modification to the EDGARLite Form TA-1 (Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934) to correct the form version number and Form TA-2 (Annual Report of Transfer Agent activities filed pursuant to the Securities Exchange Act of 1934) to allow filers to input up to two decimal places for percentage values in their response to Question 5(d). Other revisions were made to reflect several amended rules and forms previously proposed or adopted by the Commission and implemented in EDGAR. Those rules address (1) the electronic submission on EDGAR of applications for orders under any section of the Investment Company Act of 1940 and Regulation E filings of Small Business Investment Companies (SBIC’s) and Business Development Companies (BDC’s) if and when the Commission might adopt rule changes making these mandatory electronic submissions and (2) Smaller Reporting Company regulatory relief and simplification.
EDGAR Filer Manual (Volume III) N-SAR Supplement (Version 1)
Effective Date: September 2005
EDGAR Filer Manual (Volume III), N-SAR Supplement, is the guide for preparing the electronic submission of Form N-SAR.