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Draft EDGAR XFDL Technical Specification (Version 3)

This DRAFT EDGAR XFDL Technical Specification (Version 3), 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 prepare for 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 XFDL 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 XFDL Technical Specification (Version 3) 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 February 6, 2006. The final version of the specification will be made available as and if approved by the Commission on or about February 6, 2006, on the SEC's Public Website.

The DRAFT EDGAR XFDL Technical Specification (Version 3) provides, to those filers that are interested, a basis for creating XFDL filings without the use of the EDGARLink tool. Changes to the DRAFT EDGAR XFDL Technical Specification (Version 3) are being made primarily to support the amended rules and forms adopted by the Commission to address 1) series and class data in Investment Company and Insurance Contract form types, 2) required electronic transmission of form 25 and 25-NSE, 3) removal from EDGAR of Securities Offering Reform form types, and 4) repeal of Public Utility Holding Company Act form types. 

A summary of the changes are as follows (please refer to the appendices that appear in the XFDL specification for details):

Template 1

  1. The following submission types are no longer allowed in the SubTable_submissionType_field:
    F-2, F-2/A, F-2D, F-2DPOS, F-2MEF, S-2, S-2/A, S-2MEF
     
  2. In order to specify Investment Company Type information, the following new fields are allowed for applicable submission types: SubInvCompany_isImCompany_,
    SubInvCompany_invCompanyType_
     
  3. In order to specify new Series and Classes (Contracts) information, the following new fields are allowed for applicable submission types:
    SubScNew_groupId_, SubScNew_seriesName_,
    SubScNew_seriesId_,
    SubScNew_useCompanyNameAsSeriesNameFlag_,
    SubScNew_className_,
    SubScNew_useSeriesNameAsClassNameFlag_,
    SubScNew_useCompanyNameAsClassNameFlag_
     
  4. In order to specify existing Series and Classes (Contracts) information, the following new fields are allowed for applicable submission types:
    SubScExst_includeAllSeriesFlag_, SubScExst_seriesId_,
    SubScExst_includeAllClassesFlag_, SubScExst_classId_
     
  5. In order to specify merging Series and Classes (Contracts) information, the following new fields are allowed for applicable submission types:
    SubScMrg_acquiringCik_, SubScMrg_acquiringInvCompanyType_,
    SubScMrg_acquiringSeriesId_, SubScMrg_acquiringClassId_,
    SubScMrg_targetCik_, SubScMrg_targetInvCompanyType_,
    SubScMrg_targetIncludeAllSeriesFlag_,
    SubScMrg_targetSeriesId_, SubScMrg_targetIncludeAllClassesFlag_,
    SubScMrg_targetClassId_
     
  6. In order to specify itemized Series and Class (Contract) IDs for 24F-2NT and 24F-2NT/A, the SubSalesShares_series_ field has been replaced by the SubSalesShares_seriesOrClassId_ field and the SubSalesShares_itemizeFlag_ field has been added.

Template 2

  1. The following submission types are no longer allowed in the SubTable_submissionType_ field (as of February 9, 2006):
    45B-3, 45B-3/A, U-12-IA, U-12-IA/A, U-12-IB, U-12-IB/A,
    U-13E-1, U-13E-1/A, U-57, U-57/A, U-7D, U-7D/A
     
  2. In order to specify Investment Company Type information, the following new fields are allowed for applicable submission types:
    SubInvCompany_isImCompany_,
    SubInvCompany_invCompanyType_
     
  3. In order to specify existing Series and Classes (Contracts) information, the following new fields are allowed for applicable submission types:
    SubScExst_includeAllSeriesFlag_, SubScExst_seriesId_,
    SubScExst_includeAllClassesFlag_, SubScExst_classId_
     
  4. In order to specify merging Series and Classes (Contracts) information, the following new fields are allowed for applicable submission types: SubScMrg_acquiringCik_, SubScMrg_acquiringInvCompanyType_, SubScMrg_acquiringSeriesId_, SubScMrg_acquiringClassId_, SubScMrg_targetCik_, SubScMrg_targetInvCompanyType_, SubScMrg_targetIncludeAllSeriesFlag_, SubScMrg_targetSeriesId_, SubScMrg_targetIncludeAllClassesFlag_, SubScMrg_targetClassId_

Template 3

  1. The following submission types are no longer allowed in the SubTable_submissionType_ field (as of February 9, 2006):
    35-APP, 35-APP/A, 35-CERT, 35-CERT/A, U-1, U-1/A, U-13-1, U-13-1/A,
    U-13-60, U-13-60/A, U-33-S, U-33-S/A, U-3A-2, U-3A-2/A, U-3A3-1,
    U-3A3-1/A, U-6B-2, U-6B-2/A, U-9C-3, U-9C-3/A, U-R-1, U-R-1/A, U5A,
    U5A/A, U5B, U5B/A, U5S, U5S/A, POS AMC
     
  2. In order to specify Investment Company Type information, the following new field is
    allowed for applicable submission types: SubInvCompany_invCompanyType_
     
  3. In order to specify new Series and Classes (Contracts) information, the following new fields are allowed for applicable submission types:
    SubScNew_groupId_, SubScNew_seriesName_, SubScNew_seriesId_,
    SubScNew_useSeriesNameAsClassNameFlag_, SubScNew_className_,
    SubScNew_useCompanyNameAsSeriesNameFlag_,
    SubScNew_useCompanyNameAsClassNameFlag_
     
  4. In order to specify existing Series and Classes (Contracts) information, the following new fields are allowed for applicable submission types:
    SubScExst_includeAllSeriesFlag_, SubScExst_seriesId_,
    SubScExst_includeAllClassesFlag_, SubScExst_classId_

There are two components to the draft specification. The first is the specification itself, which contains details about the release, general instructions on the templates, general rules about the XFDL file being created, and specific rules on the XFDL nodes containing data elements. It also includes information regarding the content of the appendices and some sample documents. The appendices document gives specific requirements for each form type. You may download the DRAFT EDGAR XFDL Technical Specification (Version 3) by clicking the following links. To assist filers in the identification of the draft changes, redlined versions have been provided.

* Download the DRAFT EDGAR XFDL Technical Specification (Version 3) (PDF File) recently updated
* Download the DRAFT EDGAR XFDL Technical Specification (Version 3) Appendices (Microsoft Excel File)

 

http://www.sec.gov/info/edgar/xfdldraft-v3-r2.htm


Modified: 01/24/2006