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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 19) 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 Filer Manual (Volume I) - General Information (Version 19) are being made to update the filer manual to reflect changes scheduled to be implemented on December 15, 2014.

  • A new exhibit type EX-1.01 will be available on EDGARLink Online for submission form types SD and SD/A. Filers that are filing a Conflict Minerals Report should specify Item 1.02 on a Form SD or SD/A submission and attach the Conflict Minerals Report as EX-1.01 in official ASCII or HTML format. Exhibit type EX-1.02, which was previously allowed on an SD and SD/A submission, will no longer be available on EDGARLink Online or accepted by EDGAR.
  • Submission form type 13H-A will restrict the "Calendar Year Ending" value to a year that is prior to the current calendar year.
  • The EDGAR automated submission notification email for a 13H-A submission form type will inform the filer that the 13H-A submission received was for an annual filing or a combined annual and fourth quarter filing.
  • Form TA-2 and its amendment will be updated to remove "Office of Thrift Supervision" as an option for Item 3(a) - Registrant's appropriate regulatory agency (ARA). Filers must download the latest template to file Form TA-2 and its amendment using the 'EDGARLite Submission Templates' link on the EDGAR OnlineForms Management Website.
     
    Transfer Agents with file numbers in the range 085-15000 to 085-19999 must now select "Comptroller of the Currency" instead of "Office of Thrift Supervision" as the registrant's appropriate regulatory agency on Form TA-2 and its amendment. In addition, EDGAR will suspend filer-constructed submissions of Form TA-2 and its amendment with "Office of Thrift Supervision" (OTS) as the value for registrant's appropriate regulatory agency. Please refer to the "EDGAR Form TA-2 Technical Specification" document for details.
  • Validations for Item 5 of Form TA-2 and its amendment will be updated as follows. If the response for Item 2(a) is "Some" or "None" and the value for Item 5(a) is:
    • equal to zero, then the total of Items 5d(i) to 5d(vi) must be equal to 0%.
    • greater than zero, then the total of Items 5d(i) to 5d(vi) must be equal to 100%.
  • The EDGAR automated submission notification emails for Form D submissions will include the web address to the Electronic Filing Depository (https://efdnasaa.org) to enable Form D filers fulfill their state filing obligations.
  • The EDGAR Portal will be updated to include a new option, "Do you need more information?" that links to the 'Guidance for Filers and FAQs' section on the SEC's Public Website (www.sec.gov). In addition, the 'Access Notes' section on the EDGAR Portal will include contact information for EDGAR Filer Support.

You may download the DRAFT EDGAR Filer Manual (Volume I) General Information (Version 19) by clicking the following link. To assist filers in the identification of the draft changes, we have provided a redlined version of Volume I.

 

http://www.sec.gov/info/edgar/edmanuals-vol1-19_d.htm


Modified: 11/14/2014