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EDGAR Form 13F XML Technical Specification (Version 1.2)

Implementation Date: September 14, 2015

The EDGAR Form 13F XML Technical Specification provides, to those filers that are interested, a basis for creating 13F-HR, 13-HR/A, 13F-NT, and 13-NT/A XML submissions without the use of the online application. Software developers, working on behalf of filers, can use this specification to construct software that will generate a Form 13F submission that can be successfully processed by the EDGAR system.

EDGAR Release 15.3 introduced the following changes:

  • Made the following changes to the document to make it 508 compliant:
    • Some of the column headers were not sufficient for JAWS to announce when it was entering data cells in the JAWS “Tables” mode. Enabled the “Repeat as header row at the top of each page” option to resolve the issue.
    • Some of the headings in the document did not follow a hierarchy. Corrected the issue by setting the hierarchical order. For example, Heading Level 1, Heading Level 2, Heading Level 3; or Caption or Body text for tables.
    • Lists, and the numbering of list items, were not sufficient for JAWS to identify and read. Mapped all the contents which appeared to be a list using the Numbering or Bullet list option.
    • Some of the tables in the document spanned across multiple pages with no repeated header rows, which was not sufficient for JAWS to announce the column heading of that cell in the table. Enabled the “Allow row to break across pages” and “Repeat as header row at the top of each page” options to resolve the issue.
    • Hyperlinks were not sufficient for JAWS to announce and navigate appropriately. Enabled hyperlinks and ensured JAWS read and navigated to the appropriate URLs.

The following EDGAR Form 13F XML Technical Specification documents detail the valid structure and content of the Form 13F submission types (13F-HR, 13-HR/A, 13F-NT, and 13-NT/A).

 

http://www.sec.gov/info/edgar/specifications/form13fxmltechspec.htm


Modified: 09/15/2015