EDGARLink Online XML Technical Specification (Version 21)

Implementation Date: September 11, 2017

The EDGARLink Online (ELO) XML Technical specification (Version 21) document details the valid structure and content of the EDGARLink Online (ELO) Electronic Data Gathering, Analysis, and Retrieval (EDGAR) Extensible Markup Language (XML) submission types. This specification provides, to those filers that are interested, a basis for creating XML submissions without the use of the EDGAR OnlineForms/XML Website. The expectation is that software developers, working on behalf of filers, will construct software that will generate an ELO XML submission that can be successfully processed by the EDGAR system.

The EDGARLink Online Submissions must conform to the EDGARLink Online XML Technical Specification, namely, the XML schemas. Refer to XML schemas for detailed information on the common XML constructs of the EDGAR Filing submissions. For specific information about the data content of the ELO submission types, refer to the EDGAR Filer Manual Volume II available on the SEC's Public Website (https://www.sec.gov/info/edgar/edmanuals.htm).

Release 17.2 added the schema elements “emergingGrowthCompanyFlag” and “exTransitionPeriodFlag” to the primary registrant. Release 17.3 added these elements to the co-registrants in the eis_CoReg.xsd and eis_CoRegFee.xsd schemas. Below are the details of the new elements:

  • The element “emergingGrowthCompanyFlag” is mandatory for the primary registrant but conditionally mandatory for the co-registrant.
  • The element “exTransitionPeriodFlag” is conditionally mandatory for both the primary registrant and the co-registrant based on the value of the “emergingGrowthCompanyFlag”.
  • These elements apply only to the following form types:

    CoRegFee Schema Submission Form Types
    S-1
    S-1/A
    S-3
    S-3/A
    S-4
    S-4/A
    S-8
    S-11
    S-11/A
    F-1
    F-1/A
    F-3
    F-3/A
    F-4
    F-4/A

    CoReg Schema Submission Form Types
    10-12B
    10-12B/A
    10-12G
    10-12G/A
    8-K
    8-K/A
    8-K12B
    8-K12B/A
    8-K12G3
    8-K12G3/A
    8-K15D5
    8-K15D5/A
    10-Q
    10-Q/A
    10-QT
    10-QT/A
    10-K
    10-K/A
    10-KT
    10-KT/A
    20-F
    20-F/A
    20FR12B
    20FR12B/A
    20FR12G
    20FR12G/A
    40-F
    40-F/A
    40FR12B
    40FR12B/A
    40FR12G
    40FR12G/A

  • Table 1 2: Single Filer SC updated, added entries for NT-NCEN, NT-NCEN/A, NPORT-EX and NPORT-EX/A
  • Section 3.3 Applicability of Schema Elements updated as added definition type for NPORT-EX and NPORT-EX/A
  • Section 3.4.2 Mapping of ELO Single Filer SC Submission Schemas to Submission Types updated, added entries for NT-NCEN, NT-NCEN/A, NPORT-EX and NPORT-EX/A

Download the EDGARLink Online XML Technical Specification (Version 21) (compressed folder)