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U.S. Securities and Exchange Commission

DRAFT EDGAR Form D XML Technical Specification (Version 3.1.0)

Implementation Date: March 16, 2009

The DRAFT EDGAR Form D XML Technical Specification (Version 3.1.0), 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 in their preparation of responses to potential changes the staff anticipates. Since this is a draft technical 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 Form D 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 Form D Technical Specification (Version 3.1.0) 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 March 16, 2009. The final version of the specification will be made available as and if approved by the Commission on or about March 16, 2009 on the SEC's Public Website.

EDGAR Release 9.15.1 introduces the following changes to the DRAFT EDGAR Form D XML Technical Specification (Version 3.1.0):

  • The order of the choices for the “Year of Incorporation” has been modified in the Form D Style Sheet
  • The text, “For signature, type in the signer’s name or other letters or characters adopted or authorized as the signer’s signature” was added just above the signature block in the form D style sheet
  • The element of the WITHIN THE Form D XML schema has been changed to be optional
  • A new schema, “stateOfSolicitationCodes.xsd.xml”, was added to the Form D XML taxonomy to restrict the States of Solicitation in the Sales Compensation section of Form D.
  • The XML schema version used by EDGAR has been updated to be X0301.

In addition, when preparing to file the Form D, filers must ensure that the State of Incorporation on file in the EDGAR database is correct for the issuer’s CIK. The <jurisdictionOfInc> value submitted will be replaced by the State of Incorporation value on file. If the <jurisdictionOfInc> value on file is NULL, the filing will be suspended unless the value for <yettobeformed> is “True”.



Modified: 03/11/2009