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EDGAR XML Technical Specifications

Oct. 11, 2023

These XML Technical Specifications describe the valid structure and content for Extensible Markup Language (XML) submission types on EDGAR. The referenced specifications provide the basis for creating the relevant form submissions. Filers may use these specifications to construct software that will generate form submissions that can be successfully processed by EDGAR.

Form submission files must conform to the EDGAR form-specific submission taxonomy. Each taxonomy comprises a collection of XML Schema Definition (.xsd) files that defines the structure of the EDGAR form submission.

Also on this page: Draft Specifications | Past Specifications


Listed Chronologically

Also see listed alphabetically

Form N-MFP3

Version 2.0 | Date: February 5, 2024 |  full specs (ZIP, 650 kb)

see changes from previous version

On February 5, 2024, EDGAR Release 24.0.2 introduced the following changes:

  • The "Form N-MFP3 Technical Specifications" document will be updated to correct the maximum occurrences of "scheduleOfPortfolioSecuritiesInfo" in Part C to 99,999 instead of the current 9,999. Additionally, the Form N-MFP3 schema will be updated to correct the maximum occurrences of "dispositionOfPortfolioSecurities" in Part D to 1 instead of 9,999.

Form N-PX

Version 3.0 | Date: February 5, 2024 |  full specs (ZIP, 762 kb)

see changes from previous version

On February 5, 2024, EDGAR Release 24.0.2 introduced the following changes:

  • The "Form N-PX Technical Specifications" package will be updated to correct the maximum occurrences of "proxyTable" to 500,000 instead of 250,000; State and Country codes have been added; and State and Country fields have been changed to one "stateOrCountry" field.

Form N-PX CTR

Version 3.0 | Date: February 5, 2024 |  full specs (ZIP, 1.8 mb)

see changes from previous version

On February 5, 2024, EDGAR Release 24.0.2 introduced the following changes:

  • The "Form N-PX CTR Technical Specifications" package will be updated to correct the maximum occurrences of "proxyTable" to 500,000 instead of 250,000; State and Country codes have been added; and State and Country fields have been changed to one "stateOrCountry" field.

EDGARLink Online

Version 47  |  Date: January 29, 2024  |  full specs (ZIP, 9.0 mb)

see changes from previous version

On January 29, 2024, EDGAR Release 24.0.1 introduced the following changes:

  • The following schema files eis_coreg.xsd, eis_coreg_fee.xsd, eis_coreg_sc_fee.xsd, eis_coreg_serial.xsd, eis_subject_fee.xsd, eis_subjectgroup_fee.xsd have been updated to include new element, ftExhibitFlag.

SBS Entity Forms

Version 1.6  |  Date: December 18, 2023  |   full specs (ZIP, 2.1 mb)

see changes from previous version

On December 18, 2023, EDGAR Release 23.4 introduced the following changes

  • Table 3.4 Mapping of Form SBSE Submission Schemas to Submission Type
  • Table 3.5 Mapping of Form SBSE-A Submission schemas to Submission Types
  • Table 3.6 Mapping of Form SBSE-BD Submission schemas to Submission Types.

Schedule 13D & 13G

Version 1.0  |  Date: January 8, 2024   |   full specs (ZIP, 0.7 mb)

see changes from previous version

This specification provides the basis for creating the aforementioned submission types for Schedule 13D and 13G XML submissions. Filers must use this technical specification to generate a Schedule 13D and 13G XML submission that can be successfully parsed by the EDGAR system.

The Schedule 13D or 13G submission file must conform to the EDGAR Schedule 13D and 13G Submission Taxonomy. This taxonomy is comprised of a collection of XML Schema Definition (.xsd) files that define the structures of EDGAR Schedule 13D and 13G submissions.

The Schedule 13D and 13G submissions can be transmitted to the SEC via the EDGAR FilerWeb (https://www.edgarfiling.sec.gov/) or the “Transmit XML Submission” option from the EDGAR OnlineForms/XML Website (https://www.onlineforms.edgarfiling.sec.gov).

ABS

Version 3.1  |  Date: September 18, 2023  |  full specs (ZIP, 1.4 mb)

see changes from previous version

On September 18, 2023, EDGAR Release 23.3 introduced the following changes:

  • Section 4.3.25 will be updated to add Enumerated value 10 along with description “Forbearance” for element.

Form N-CEN

Version 2.9  |  Date: September 18, 2023  |  full specs (ZIP, 1.7 mb)

see changes from previous version

On September 18, 2023, EDGAR Release 23.3 introduced the following changes:

  • In Section 3.4, updated with new element “creationUnitRedeemedNumOfShares”.
    • Schema eis_NCEN_Filer.xsd updated to include new element “creationUnitRedeemedNumOfShares” of data type DECIMAL_TYPE_24.

Form N-CR

Version 1.0  |  Date: September 18, 2023  |  full specs (ZIP, 0.4 mb)

see changes from previous version

No previous version.

Ownership (Forms 3, 4, 5)

Version 5.4  |  Date: March 20, 2023  |  full specs (ZIP, 1.0 mb)

see changes from previous version

On March 20, 2023, EDGAR Release 23.1 introduced the following changes:

  • Table 3.5, Appendix C and D are updated to include element “aff10b5One” to the Submission Form Types 4, 4/A, 5 and 5/A.

Form 13F

Version 1.7  |  Date: January 3, 2023  |  full specs (ZIP, 1.0 mb)

see changes from previous version

On January 3, 2023, EDGAR Release 22.4.1 introduced the following changes:

  • Table 3.4 has been updated to include new “crdNumber” and “secFileNumber” elements to the 13F Submission Schemas.
  • Table 3.4 has been updated to increase size of the element “tableValueTotal” to 16 digits.
  • The eis_13F_Filer.xsd schema file has been updated to add new elements “crdNumber” and “secFileNumber” to the Cover and Summary page sections.
  • Table 3.4 and section 5.2 have been updated to add optional “FIGI” to the Information table.
  • Table 3.4 has been updated to increase size of the element “value” to 16 digits.
  • The eis_13FDocument.xsd schema file has been updated to add new element “FIGI”.
  • The eis_13FDocument.xsd schema file has been updated to update size of the element “value” to 16 digits.
  • The Appendix B section has been updated to add “crdNumber”, “secFileNumber” ,”denovoRequest” and “FIGI” to the XML Element Name table.
  • The Appendix B section has been updated to change “value” from thousand to the nearest dollar.
  • The eis_13F_Filer.xsd and table 3.4 have been updated to add “denovoRequest” for Submission form type 13F-CTR/A

Form 144

Version 2.0  |  Date: October 17, 2022  |  full specs (ZIP, 0.8 mb)

see changes from previous version

On October 17, 2022, EDGAR Release 22.3.1 introduced the following changes:

  • Increase the maximum number element sets allowed for "" and "" from 20 to 40.
  • Increase the maximum number sets allowed for "" from 20 to 200.
  • If the filer indicates that the securities were a gift, the “" and "" are optional elements that the filer may complete.

Form X-17A-5

Version 8  |  Date: June 21, 2022  |  full specs (ZIP, 0.8 mb)

see changes from previous version

On June 21, 2022, EDGAR Release 22.2 introduced the following changes:

  • Updated section 3.4 Mapping of X-17A-5 Submission Schemas to Submission Types, to reflect the latest changes.

Form 24F-2

Version 2.0  |  Date: May 31, 2022  |  full specs (ZIP, 0.8 mb)

see changes from previous version

On May 31, 2022, EDGAR Release 22.1.2 introduced the following changes:

  • Table 3.4 updated to remove element “feePaymentMethod”.
  • Table 5.4 updated by removing PAYMENT_METHOD_TYPE.
  • The eis_24F_2NT_Filer.xsd has been updated to remove “feePaymentMethod”.

Form 17-H

Version 1.3  |  Date: April 18, 2022  |  full specs (ZIP, 1.1 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form ATS-N

Version 1.5  |  Date: April 18, 2022  |   full specs (ZIP, 1.3 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form C

Version 8  |  Date: April 18, 2022  |  full specs (ZIP, 1.5 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form CFPORTAL

Version 1.5  |  Date: April 18, 2022  |  full specs (ZIP, 1.4 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form MA

Version 1.6  |  Date: April 18, 2022  |  full specs (ZIP, 3.8 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form N-MFP1

Version 1.2  |  Date: April 18, 2022  |  full specs (ZIP, 0.4 mb)

see changes from previous version

On August 17, 2016, EDGAR Release 21.3 introduced the following changes:

  • In section 3.4, the element "date" under "signature" has been renamed to "signatureDate" to match the element name in the schema eis_NMFP1_Filer.xsd. This is only a correction to the document and no changes were made to the schema file.

Form N-MFP2

Version 2.4  |  Date: April 18, 2022  |  full specs (ZIP, 0.9 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form N-PORT

Version 1.10  |  Date: April 18, 2022  |  full specs (ZIP, 2.6 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Submission form types NPORT-P, NPORT-P/A, NPORT-NP and NPORT-NP/A will be updated to include the following two new sections and corresponding sub-sections:
    1. Section B.9: Derivatives Exposure for limited derivatives users. If the Fund is excepted from the rule 18f-4 [17 CFR 270.18f-4] program requirement and limit on fund leverage risk under rule 18f-4(c)(4) [17 CFR 270.18f-4(c)(4)], provide the following information:
    2. Section B.10: VaR information. For Funds subject to the limit on fund leverage risk described in rule 18f-4(c)(2) [17 CFR 270.18f-4(c)(2)], provide the following information, as determined in accordance with the requirement under rule 18f-4(c)(2)(ii) to determine the fund’s compliance with the applicable VaR test at least once each business day:
    For the above request the following sections will be updated
    • Section 3.3 Applicability of Schema Elements is updated.
    • Section 3.4. Mapping of Form N-PORT Submission Schemas to Submission Type is updated.
    • Section 4.19 ITEM_CATEGORY_TYPE is updated.
  • The schema files eis_NPORT_Filer.xsd and eis_NPORT_Common.xsd will be updated to reflect Section B.9 and Section B.10
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code TW is changed to TAIWAN in Section 6.1 ISO_COUNTRY_CODE.

Form SDR

Version 5  |  Date: April 18, 2022  |  full specs (ZIP, 1.0 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form TA

Version 1.6  |  Date: April 18, 2022  |  full specs (ZIP, 1.4 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Reg A

Version 1.11  |  Date: April 18, 2022  |  full specs (ZIP, 1.1 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form 25-NSE

Version 4.3  |  Date: September 20, 2021  |  full specs (ZIP, 0.8 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form D

Version 12  |  Date: September 20, 2021  |  full specs (ZIP, 2.1 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • ERROR REPORTING Section 6 has been updated with the following warning message as below:
    “Only $10 million of securities is permitted to be offered within a 12 month period under Rule 504.”
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in formDStateCodes.xsd.xmlfile.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form SH-ER

Version 2.3  |  Date: September 20, 2021  |  full specs (ZIP, 0.4 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.


Listed Alphabetically

Also see listed chronologically

ABS

Version 3.1  |  Date: September 18, 2023  |  full specs (ZIP, 1.4 mb)

see changes from previous version

On September 18, 2023, EDGAR Release 23.3 introduced the following changes:

  • Section 4.3.25 will be updated to add Enumerated value 10 along with description “Forbearance” for element.

EDGARLink Online

Version 47  |  Date: January 29, 2024  |  full specs (ZIP, 9.0 mb)

see changes from previous version

On January 29, 2024, EDGAR Release 24.0.1 introduced the following changes:

  • The following schema files eis_coreg.xsd, eis_coreg_fee.xsd, eis_coreg_sc_fee.xsd, eis_coreg_serial.xsd, eis_subject_fee.xsd, eis_subjectgroup_fee.xsd have been updated to include new element, ftExhibitFlag.

Form 13F

Version 1.7  |  Date: January 3, 2023  |  full specs (ZIP, 1.0 mb)

see changes from previous version

On January 3, 2023, EDGAR Release 22.4.1 introduced the following changes:

  • Table 3.4 has been updated to include new “crdNumber” and “secFileNumber” elements to the 13F Submission Schemas.
  • Table 3.4 has been updated to increase size of the element “tableValueTotal” to 16 digits.
  • The eis_13F_Filer.xsd schema file has been updated to add new elements “crdNumber” and “secFileNumber” to the Cover and Summary page sections.
  • Table 3.4 and section 5.2 have been updated to add optional “FIGI” to the Information table.
  • Table 3.4 has been updated to increase size of the element “value” to 16 digits.
  • The eis_13FDocument.xsd schema file has been updated to add new element “FIGI”.
  • The eis_13FDocument.xsd schema file has been updated to update size of the element “value” to 16 digits.
  • The Appendix B section has been updated to add “crdNumber”, “secFileNumber” ,”denovoRequest” and “FIGI” to the XML Element Name table.
  • The Appendix B section has been updated to change “value” from thousand to the nearest dollar.
  • The eis_13F_Filer.xsd and table 3.4 have been updated to add “denovoRequest” for Submission form type 13F-CTR/A

Form 144

Version 2.0  |  Date: October 17, 2022  |  full specs (ZIP, 0.8 mb)

see changes from previous version

On October 17, 2022, EDGAR Release 22.3.1 introduced the following changes:

  • Increase the maximum number element sets allowed for "" and "" from 20 to 40.
  • Increase the maximum number sets allowed for "" from 20 to 200.
  • If the filer indicates that the securities were a gift, the “" and "" are optional elements that the filer may complete.

Form 17-H

Version 1.3  |  Date: April 18, 2022  |  full specs (ZIP, 1.1 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form 24F-2

Version 2.0  |  Date: May 31, 2022  |  full specs (ZIP, 0.8 mb)

see changes from previous version

On May 31, 2022, EDGAR Release 22.1.2 introduced the following changes:

  • Table 3.4 updated to remove element “feePaymentMethod”.
  • Table 5.4 updated by removing PAYMENT_METHOD_TYPE.
  • The eis_24F_2NT_Filer.xsd has been updated to remove “feePaymentMethod”.

Form 25-NSE

Version 4.3  |  Date: September 20, 2021  |  full specs (ZIP, 0.8 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form ATS-N

Version 1.5  |  Date: April 18, 2022  |   full specs (ZIP, 1.3 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form C

Version 8  |  Date: April 18, 2022  |  full specs (ZIP, 1.5 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form CFPORTAL

Version 1.5  |  Date: April 18, 2022  |  full specs (ZIP, 1.4 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form D

Version 12  |  Date: September 20, 2021  |  full specs (ZIP, 2.1 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • ERROR REPORTING Section 6 has been updated with the following warning message as below:
    “Only $10 million of securities is permitted to be offered within a 12 month period under Rule 504.”
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in formDStateCodes.xsd.xmlfile.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form MA

Version 1.6  |  Date: April 18, 2022  |  full specs (ZIP, 3.8 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form N-CEN

Version 2.9  |  Date: September 18, 2023  |  full specs (ZIP, 1.7 mb)

see changes from previous version

On September 18, 2023, EDGAR Release 23.3 introduced the following changes:

  • In Section 3.4, updated with new element “creationUnitRedeemedNumOfShares”.
    • Schema eis_NCEN_Filer.xsd updated to include new element “creationUnitRedeemedNumOfShares” of data type DECIMAL_TYPE_24.

Form N-CR

Version 1.0  |  Date: September 18, 2023  |  full specs (ZIP, 0.4 mb)

see changes from previous version

No previous version.

Form N-MFP1

Version 1.2  |  Date: April 18, 2022  |  full specs (ZIP, 0.4 mb)

see changes from previous version

On August 17, 2016, EDGAR Release 21.3 introduced the following changes:

  • In section 3.4, the element "date" under "signature" has been renamed to "signatureDate" to match the element name in the schema eis_NMFP1_Filer.xsd. This is only a correction to the document and no changes were made to the schema file.

Form N-MFP2

Version 2.4  |  Date: April 18, 2022  |  full specs (ZIP, 0.9 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form N-MFP3

Version 2.0 | Date: February 5, 2024 |  full specs (ZIP, 650 kb)

see changes from previous version

On February 5, 2024, EDGAR Release 24.0.2 introduced the following changes:

  • The "Form N-MFP3 Technical Specifications" document will be updated to correct the maximum occurrences of "scheduleOfPortfolioSecuritiesInfo" in Part C to 99,999 instead of the current 9,999. Additionally, the Form N-MFP3 schema will be updated to correct the maximum occurrences of "dispositionOfPortfolioSecurities" in Part D to 1 instead of 9,999.

Form N-PORT

Version 1.10  |  Date: April 18, 2022  |  full specs (ZIP, 2.6 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Submission form types NPORT-P, NPORT-P/A, NPORT-NP and NPORT-NP/A will be updated to include the following two new sections and corresponding sub-sections:
    1. Section B.9: Derivatives Exposure for limited derivatives users. If the Fund is excepted from the rule 18f-4 [17 CFR 270.18f-4] program requirement and limit on fund leverage risk under rule 18f-4(c)(4) [17 CFR 270.18f-4(c)(4)], provide the following information:
    2. Section B.10: VaR information. For Funds subject to the limit on fund leverage risk described in rule 18f-4(c)(2) [17 CFR 270.18f-4(c)(2)], provide the following information, as determined in accordance with the requirement under rule 18f-4(c)(2)(ii) to determine the fund’s compliance with the applicable VaR test at least once each business day:
    For the above request the following sections will be updated
    • Section 3.3 Applicability of Schema Elements is updated.
    • Section 3.4. Mapping of Form N-PORT Submission Schemas to Submission Type is updated.
    • Section 4.19 ITEM_CATEGORY_TYPE is updated.
  • The schema files eis_NPORT_Filer.xsd and eis_NPORT_Common.xsd will be updated to reflect Section B.9 and Section B.10
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code TW is changed to TAIWAN in Section 6.1 ISO_COUNTRY_CODE.

Form N-PX

Version 3.0 | Date: February 5, 2024 |  full specs (ZIP, 762 kb)

see changes from previous version

On February 5, 2024, EDGAR Release 24.0.2 introduced the following changes:

  • The "Form N-PX Technical Specifications" package will be updated to correct the maximum occurrences of "proxyTable" to 500,000 instead of 250,000; State and Country codes have been added; and State and Country fields have been changed to one "stateOrCountry" field.

Form N-PX CTR

Version 3.0 | Date: February 5, 2024 |  full specs (ZIP, 1.8 mb)

see changes from previous version

On February 5, 2024, EDGAR Release 24.0.2 introduced the following changes:

  • The "Form N-PX CTR Technical Specifications" package will be updated to correct the maximum occurrences of "proxyTable" to 500,000 instead of 250,000; State and Country codes have been added; and State and Country fields have been changed to one "stateOrCountry" field.

Form SDR

Version 5  |  Date: April 18, 2022  |  full specs (ZIP, 1.0 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form SH-ER

Version 2.3  |  Date: September 20, 2021  |  full specs (ZIP, 0.4 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.

Form TA

Version 1.6  |  Date: April 18, 2022  |  full specs (ZIP, 1.4 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

Form X-17A-5

Version 8  |  Date: June 21, 2022  |  full specs (ZIP, 0.8 mb)

see changes from previous version

On June 21, 2022, EDGAR Release 22.2 introduced the following changes:

  • Updated section 3.4 Mapping of X-17A-5 Submission Schemas to Submission Types, to reflect the latest changes.

Ownership (Forms 3, 4, 5)

Version 5.4  |  Date: March 20, 2023  |  full specs (ZIP, 1.0 mb)

see changes from previous version

On March 20, 2023, EDGAR Release 23.1 introduced the following changes:

  • Table 3.5, Appendix C and D are updated to include element “aff10b5One” to the Submission Form Types 4, 4/A, 5 and 5/A.

Reg A

Version 1.11  |  Date: April 18, 2022  |  full specs (ZIP, 1.1 mb)

see changes from previous version

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
  • Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
  • Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

SBS Entity Forms

Version 1.6  |  Date: December 18, 2023  |   full specs (ZIP, 2.1 mb)

see changes from previous version

On December 18, 2023, EDGAR Release 23.4 introduced the following changes

  • Table 3.4 Mapping of Form SBSE Submission Schemas to Submission Type
  • Table 3.5 Mapping of Form SBSE-A Submission schemas to Submission Types
  • Table 3.6 Mapping of Form SBSE-BD Submission schemas to Submission Types.

Schedule 13D & 13G

Version 1.0  |  Date: January 8, 2024   |   full specs (ZIP, 0.7 mb)

see changes from previous version

This specification provides the basis for creating the aforementioned submission types for Schedule 13D and 13G XML submissions. Filers must use this technical specification to generate a Schedule 13D and 13G XML submission that can be successfully parsed by the EDGAR system.

The Schedule 13D or 13G submission file must conform to the EDGAR Schedule 13D and 13G Submission Taxonomy. This taxonomy is comprised of a collection of XML Schema Definition (.xsd) files that define the structures of EDGAR Schedule 13D and 13G submissions.

The Schedule 13D and 13G submissions can be transmitted to the SEC via the EDGAR FilerWeb (https://www.edgarfiling.sec.gov/) or the “Transmit XML Submission” option from the EDGAR OnlineForms/XML Website (https://www.onlineforms.edgarfiling.sec.gov).

       


Draft Technical Specifications

EDGARLink Online

Version 48  |  Draft Date: March 18, 2024  |   full specs (ZIP, 9.5 mb)

see changes from previous version

On March 18, 2024, EDGAR Release 24.1 will introduce the following changes:

  • Table 1-3 has been updated to add submission types 17AD-27 and 17AD-27/A along with the descriptions.
  • Section 3.4.4.2 has been updated to include elements of the submission types 17AD-27 and 17AD-27/A along with the types of the fields in the Co Reg schema.
  • eis_CoReg.xsd and eis_Common.xsd schemas have been updated to add 17AD-27 and 17AD-27/A submission types.
  • eis_SubjectGroup.xsd schema has been updated to not allow ‘0000000000’ for element filerId in SUBJECT_COMPANY_TYPE.
  • eis_CoReg.xsd schema has been updated to include feePayorInformation. Accordingly, section 3.4.4.1 has been updated.

    Form N-PORT

    Version 1.11  | Draft Date: March 18, 2024  |   full specs (ZIP, 2 mb)

    see changes from previous version

    On March 18, 2024, EDGAR Release 24.1 will introduce the following changes:

    • Submission form types NPORT-P, NPORT-P/A, NPORT-NP and NPORT-NP/A will be updated to include the following two new sections and corresponding sub-sections:

      1. Section B.11: Investment Company Act Names Rule Investment Policy. If the Fund is required to adopt a policy as described in rule 35d-1(a)(2)(i) or (a)(3)(i) [17 CFR 270.35d1(a)(2)(i) or (3)(i)], provide the following:
      2. Section B11.a: The definitions of the terms used in the Fund’s name, including the specific criteria the Fund uses to select the investments the term describes, if any
      3. Section B.11.b: The value of the Fund’s 80% basket, as defined in rule 35d-1(g)(1), as a percentage of the value of the Fund’s assets

      4. Section C.2.e: If the Fund is required to adopt a policy as described in rule 35d-1(a)(2)(i) or (a)(3)(i) [17 CFR 270.35d-1(a)(2)(i) or (3)(i)], is the investment included in the Fund’s 80% basket, as defined in rule 35d-1(g), as applicable? [Y/N]

    For the above request, the following sections will be updated:

    • Section 3.4. Mapping of Form N-PORT Submission Schemas to Submission Type is updated.

    • Section 4.19 ITEM_CATEGORY_TYPE is updated.

    The schema files eis_NPORT_Filer.xsd and eis_NPORT_Common.xsd will be updated to reflect Section B.11, and Section C.2.e (and D.2.e) updates as well as supporting Part E information.

             


             

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