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U.S. Securities and Exchange Commission

DRAFT EDGAR Form D XML Technical Specification (Version 8)

Implementation Date: September 23, 2013

This DRAFT EDGAR Form D XML Technical Specification (Version 8), 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 specification, the SEC retains the right to change any part of the specification before the new system release is made final. In addition, the final EDGAR Form D XML Technical Specification is subject to Commission approval and may be revised before approval or not approved at all. Similarly, the posting of the DRAFT EDGAR Form D XML Technical Specification (Version 8) does not indicate Commission approval of any pending proposed changes relating to the potential changes reflected in the draft specification. The changes outlined in this draft specification, if approved, are scheduled to take effect on September 23, 2013. The final version of the specification will be made available if approved by the Commission on or about September 23, 2013 on the SEC's Public Website.

On September 23, 2013, EDGAR Release 13.3 will introduce the following changes:

  • The Form D style sheet (D_X07.xsl) has been updated to rename "Rule 506" to "Rule 506(b)", and add "Rule 506(c)". The style sheet and instructions have also been updated to rename "Securities Act Section 4(5)" to "Securities Act Section 4(a)(5)". Form D schema (formDSubmission.xsd.xml) will be updated to reflect the updated style sheet version number.
  • Form D schema (formDSubmission.xsd.xml) has been updated to rename the exemption "46" to "4a5", "06" to "06b" and to add a new exemption "06c" under the "STANDARD_LIST" schema element.



Modified: 08/26/2013