DRAFT EDGAR Filer Manual (Volume II) — EDGAR Filing (Version 7)
This draft Filer Manual, 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 manual, the SEC retains the right to change any part of the manual before the new system release is made final. In addition, the final EDGAR Filer Manual (Volume II) (Version 7) is subject to Commission approval and may be revised before approval or not approved at all. Similarly, the posting of the draft manual does not indicate Commission approval of any pending proposed changes relating to the potential changes reflected in the draft manual. The final version of the manual will be made available as and if approved by the Commission, on the SEC's Public Website.
Changes to the DRAFT EDGAR Filing Manual (Volume II) EDGAR Filing (Version 7) are being made to update the filer manual to reflect changes made during previous EDGAR Releases.
December 17, 2007 (EDGAR Release 9.8):
- The electronic submission on EDGAR of applications for orders under any section of the Investment Company Act of 1940 and Regulation E filings by Small Business Investment Companies (SBIC's) and Business Development Companies (BDC's). New submission form types were added to Template 3: 1-E, 1-E/A, 1-E AD, 1-E AD/A, 2-E, 2-E/A, 40-6B, 40-6B/A, 40-APP, 40-APP/A, 40-OIP, and 40-OIP/A. However, filers may use these submission types only if and when the Commission might adopt the amendments set forth in the proposing release.
- Smaller Reporting Company regulatory relief and simplification. Submission types S-1, S-1/A, S-1MEF, S-3, S-3/A, S-3D, S-3DPOS, S-3MEF, S-4, S-4POS, S-4/A, S-4EF, S-4EF/A, S-4MEF, S-8, S-8POS, S-11, S-11/A, S-11MEF, 10-12B, 10-12B/A, 10-12G, 10-12G/A, POS AM, POS EX were modified by adding a “Smaller Reporting Company” indicator to the header of electronic filings; Submission Types 10SB12B, 10SB12B/A, 10SB12G, 10SB12G/A, SB-1, SB-1/A, SB-1MEF, SB-2, SB-2/A and SB-2MEF will be suspended as of February 4, 2008. Submission types 10QSB and 10QSB/A will be suspended as of November 3, 2008. Submission types 10KSB and 10KSB/A will be suspended as of March 16, 2009.
February 4, 2008 (EDGAR Release 9.9):
- Transition from Mellon Bank to U.S. Bank, St. Louis, Missouri as the depository/financial agent for the SEC. The U.S. Department of Treasury’s Financial Management Service has designated U.S. Bank of St. Louis, Missouri as the new Financial Agent for General Lockbox Services for the SEC. U.S. Bank took over this responsibility from Mellon Bank on February 4, 2008. All fee payments (wires and checks) must now be submitted to U.S. Bank. No payments should be submitted to Mellon Bank.
- Modification to the EDGARLite submission templates for Form TA-1 (Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934) to correct the form version number and Form TA-2 (Annual Report of Transfer Agent activities filed pursuant to the Securities Exchange Act of 1934) to allow filers to input up to two decimal places for percentage values in their response to Question 5(d)
You may download the DRAFT EDGAR Filing Manual (Volume II) EDGAR Filing (Version 7) by clicking the following link. To assist filers in the identification of the draft changes, we have provided a redlined version of Volume II.