Notice: EDGAR Release 5.40
(Text revised 01-30-98)
The production EDGAR system is scheduled to be upgraded to Release 5.40
on January 24, 1998. Release 5.40 will affect the functionality of the
EDGARLink and EDGAR Workstation applications, the EDGAR Host and
Communications Subsystems, and the EDGAR database. An updated Public Reference
Room (PRR) application will be distributed for data file consistency with the other
EDGAR applications, but no functional changes will be visible to the end user.
Most significant among the changes in EDGAR Release 5.40 is the implementation
of Internet Notifications. This enhancement expands EDGAR's notification
architecture to support transmissions via Internet Email in addition to the
established CompuServe Public Data Network (PDN) and U.S. Mail (Postal) methods.
This feature impacts much of the EDGAR system; specific details of particular
impact are noted in the appropriate sections below.
In support of the Internet Notification capability, the EDGARLink application
has been updated to include several new tags and tag nests. One such tag nest
allows filers to update their notification address by including it in the
header of a LIVE filing as follows:
To prevent unintentional changes to filer company data, this tag nest will have
no effect when included in TEST filings.
Filers should be aware that the tag , also used in the
tag nest, has been renamed to . As
of Release 5.40, the old tag will be an invalid tag.
If a filer updates company information to include an Internet notification
address, that address will become the default notification address, and all
subsequent automatic filing notifications will be sent to that address. Once
an Internet address is on file, notifications will not be automatically sent
via CompuServe, even if a CompuServe address is included in the company
information. Subsequent changes to remove an Internet address and restore a
CompuServe address as the default must be performed manually by SEC Filer
Support Staff after receipt of an amended Form ID. Notifications may still be
sent to a CompuServe address on a per-filing basis through the use of the
or tags, described below.
In addition to receiving notifications via the default notification method,
the filer can direct notifications to additional addresses (CompuServe or
Internet) by including those addresses in the submission header of the filing
with the and/or tags, as appropriate. The filer has
a submission-specific option to override the Internet notification default in favor of the
CompuServe ID, if the filer has both an Internet address AND a CompuServe ID on file at
the SEC. This is done by inserting the tag in
the header of the submission. No value is required (or permitted) for this tag. EDGAR
will forward the automatic notification of the filing containing this header tag to the valid
CompuServe IDs of the Primary CIK and the Login CIK in the company folder. If no valid
CompuServe ID is on file, the notification will be sent via U.S. Mail (Postal) only until
phase-out of the Postal option, approximately six months after EDGAR Release 5.40.
Due to filing width constraints, EDGAR supports Internet addresses having a
maximum of 80 characters. For data security reasons, Internet notification
messages for TEST or SUSPENDED LIVE filings will omit the Form Type, Subject
Company Name, and Subject Company CIK. Also for security, Return-Copies will
not be distributed via the Internet and will continue to be processed through
CompuServe and the U.S. Mail (Postal). Postal Return-Copies will be provided
only until phase-out of the Postal option.
Investment Company Tags/Submission Types
The following fee tags are no longer valid for form types N-1, N-1A, N-3, N-4,
S-6, N-14 and N-14AE (and their amendments):
The following form types have been added for the filing of initial registration
statements and pre-effective amendments on Form N-14 by closed-end investment
The following form types are no longer accepted by the EDGAR system and are not supported by EDGARLink:
N-14 8C N-14 8C/A
The <REDEEMED-VALUE-USED> tag, which had been located within the <SHARES>
tag nest of the 24F-2NT and 24F-3NT form types, is no longer supported by the EDGAR
system and so is not available for inclusion in any 24F-2NT or 24F-3NT filing.
The Pacific Stock Exchange SRO has changed its name to Pacific Exchange, Inc.
The acronym for this SRO has also changed from PSE to PCX. In EDGARLink, the
pick list of valid values for the header tag has been updated to
reflect this change. EDGARLink's Error Checker utility will raise a warning
if the old "PSE" value is used with the tag.
Many form types do not accept future dates for the tag. The following
error message will be generated during an error-check when an unacceptable
future date is detected:
"Future date not permitted with this form type."