U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

DRAFT EDGAR Filer Manual (Volume I)

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 I) (Version 10) 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 I) - General Information (Version 10) are being made to update the filer manual to reflect changes scheduled to be implemented on August 1, 2011.

  • The offline EDGARLink tool and the associated templates have been retired and will no longer be available. XFDL submissions created by the offline EDGARLink tool or those constructed by filers according to the EDGAR XFDL Technical Specification will no longer be accepted. The EDGARLink Online Application, available from the EDGAR Filing Website (https://www.edgarfiling.sec.gov/), must be used to file all submissions previously supported by the offline EDGARLink tool. Those filers that use the EDGAR XFDL Technical Specification to create filer-constructed submissions without the use of the EDGARLink tool, and wish to do the same outside of the EDGARLink Online Application, can do so by following the EDGARLink Online XML Technical Specification, available from the Information for EDGAR Filers web page (http://www.sec.gov/info/edgar.shtml).
  • The maximum size of an EDGARLink Online submission, including all attached documents, has been increased to 200 MB.
  • The direct dial (Point-to-Point Protocol) transmission method will be terminated. Filers will not be able to use the Point-to-Point Protocol to transmit submissions to the EDGAR Filing Website.
  • Filers may now select additional applicant types when completing the Form ID to apply for EDGAR access codes. The new applicant types are:
    • Institutional Investment Manager (Form 13F Filer)
    • Investment Company (or insurance product separate account) or Business Development Company
    • Large Trader
    • Non-Investment Company Applicant under the 1940 Act

The filer manual is also being revised to address changes previously made in EDGAR. On March 28, 2011, EDGAR Release 11.1 introduced the following changes:

  • Filers may upload the required notarized authentication document in Portable Document Format (PDF) when completing the process to "Convert Paper Only Filer to Electronic Filer" from the EDGAR Filer Management Website (https://www.filermanagement.edgarfiling.sec.gov).
  • Because the Commission establishes a company record on EDGAR for approved Broker-Dealer Registration Applications and creates a Central Index Key (CIK) for that company, Broker-dealers, who may be required to file certain forms electronically on EDGAR, should complete the process to "Convert Paper Only Filer to Electronic Filer", from the EDGAR Filer Management website, instead of completing the Form ID (see EDGAR Filer Manual, Volume I, General Information for details). This is because the Form ID should be completed by those for which a CIK has not already been established on EDGAR. Once a Broker-Dealer has completed this process and received the necessary access codes, they will be able to file electronically on EDGAR.

You may download the DRAFT EDGAR Filing Manual (Volume I) General Information (Version 10) by clicking the following link. To assist filers in the identification of the draft changes, we have provided a redlined version of Volume I.



Modified: 07/01/2011