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SECURITIES AND EXCHANGE COMMISSION
17 CFR Part 232
[Release Nos. 33-7123; 34-35114; 35-26192; 39-2327; IC-20784]
RIN 3235-AG10
Adoption of updated EDGAR Filer Manual
AGENCY: Securities and Exchange Commission
ACTION: Final Rules
SUMMARY: The Commission is adopting an updated edition of the
EDGAR Filer Manual and is providing for its incorporation by
reference into the Code of Federal Regulations.
EFFECTIVE DATES: The amendment to Regulation S-T will be
effective on January 30, 1995. The new edition of the EDGAR
Filer Manual (Release 4.10) will be effective on January 30,
1995. The incorporation by reference of the EDGAR Filer Manual
is approved by the Director of the Federal Register as of January
30, 1995.
FOR FURTHER INFORMATION CONTACT: In the Office of Information
Technology, David T. Copenhafer at (202) 942-8800; in the
Division of Corporation Finance, Sylvia J. Reis or Serena C.
Swegle at (202) 942-2940; in the Division of Investment
Management, Anthony A. Vertuno at (202) 942-0591 or Ruth Armfield
Sanders at (202) 942-0633.
SUPPLEMENTARY INFORMATION: The Commission today announces the
adoption of an updated EDGAR Filer Manual ("Filer Manual"), which
sets forth the technical formatting requirements governing the
preparation and submission of electronic filings through the
Electronic Data Gathering, Analysis, and Retrieval ("EDGAR")
system. <<1>> Compliance with the provisions of the Filer Manual
is required in order to assure the timely acceptance and
processing of filings made in electronic format. <<2>> Filers
should consult the Filer Manual in conjunction with the
Commission's rules governing mandated electronic filing when
preparing documents for electronic submission. <<3>> In this
update, new form types have been added to reflect disclosure rule
changes and various technical enhancements. Rule 301 of
Regulation S-T also is being amended to provide for the
incorporation by reference of the Filer Manual into the Code of
Federal Regulations, which incorporation by reference was
approved by the Director of the Federal Register in accordance
with 5 U.S.C. 552(a) and 1 CFR Part 51. The revised Filer Manual
and the amendment to Rule 301 will be effective on January 30,
1995.
<<1>> The Filer Manual originally was adopted on April 1,
1993, and became effective on April 26, 1993. Release
No. 33-6986 (April 1, 1993) [58 FR 18638]. Updates to
the Filer Manual were adopted in July and September of
1994. Release No. 33-7073 (July 8, 1994) [59 FR 36262]
and Release No. 33-7094 [59 FR 49572] respectively.
<<2>> See Rule 301 of Regulation S-T (17 CFR 232.301).
<<3>> See Release Nos. 33-6977 (February 23, 1993) [58 FR
14628], IC-19284 (February 23, 1993) [58 FR 14848],
35-25746 (February 23, 1993) [58 FR 14999], and 33-6980
(February 23, 1993) [58 FR 15009] for a comprehensive
treatment of the rules adopted by the Commission
governing mandated electronic filing. See also Release
No. 33-7122 (December 19, 1994), in which the
Commission made the EDGAR rules final and applicable to
all domestic registrants and adopted minor amendments
to the EDGAR rules.
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Paper copies of the updated Filer Manual may be obtained at
the following address: Public Reference Room, U.S. Securities
and Exchange Commission, Mail Stop 1-2, 450 Fifth Street, N.W.,
Washington D.C. 20549. Electronic format copies will be
available on the EDGAR electronic bulletin board. Copies also
may be obtained from Disclosure Incorporated, the paper and
microfiche contractor for the Commission, at (800) 638-8241.
Since the Filer Manual relates solely to agency procedure or
practice, publication for notice and comment is not required
under the Administrative Procedure Act. <<4>> It follows that
the requirements of the Regulatory Flexibility Act <<5>> do not
apply.
Statutory Basis
The amendment to Regulation S-T is being adopted under
Sections 6, 7, 8, 10, and 19(a) of the Securities Act of 1933,
<<6>> Sections 3, 12, 13, 14, 15, 23, and 35A of the Securities
Exchange Act of 1934, <<7>> Section 20 of the Public Utility
Holding Company Act of 1935, <<8>> Section 319 of the Trust
Indenture Act of 1939, <<9>> and Sections 8, 30, 31, and 38 of
the Investment Company Act of 1940. <<10>>
List of Subjects in 17 CFR Part 232
Incorporation by reference; Investment companies;
Registration requirements; Reporting and recordkeeping
requirements; Securities.
TEXT OF THE AMENDMENT
In accordance with the foregoing, Title 17, Chapter II of
the Code of Federal Regulations is amended as follows:
<<4>> 5 U.S.C. 553(b).
<<5>> 5 U.S.C. 601-612.
<<6>> 15 U.S.C. 77f, 77g, 77h, 77j and 77s(a).
<<7>> 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w and 78ll.
<<8>> 15 U.S.C. 79t.
<<9>> 15 U.S.C. 77sss.
<<10>> 15 U.S.C. 80a-8, 80a-29, 80a-30 and 80a-37.
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PART 232 - REGULATION S-T -- GENERAL RULES AND REGULATIONS
FOR ELECTRONIC FILINGS
1. The authority citation for Part 232 continues to read
as follows:
Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 77sss(a),
78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll(d), 79t(a), 80a-8,
80a-29, 80a-30 and 80a-37. 2. Section 232.301 is
revised to read as follows:
232.301 EDGAR Filer Manual.
Electronic filings shall be prepared in the manner
prescribed by the EDGAR Filer Manual, promulgated by the
Commission, which sets out the technical formatting requirements
for electronic submissions. The January 1995 edition of the
EDGAR Filer Manual: Guide for Electronic Filing with the U.S.
Securities and Exchange Commission (Release 4.10) is incorporated
into the Code of Federal Regulations by reference, which action
was approved by the Director of the Federal Register in
accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. Compliance
with the requirements found therein is essential to the timely
receipt and acceptance of documents filed with or otherwise
submitted to the Commission in electronic format. Paper copies
of the EDGAR Filer Manual may be obtained at the following
address: Public Reference Room, U.S. Securities and Exchange
Commission, Mail Stop 1-2, 450 5th Street, N.W., Washington, D.C.
20549. They also may be obtained from Disclosure Incorporated by
calling (800) 638-8241. Electronic format copies are available
through the EDGAR electronic bulletin board. Information on
becoming an EDGAR E-mail/electronic bulletin board subscriber is
available by contacting CompuServe Inc. at (800) 848-8199.
By the Commission.
Jonathan G. Katz
Secretary
December 19, 1994