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Draft EDGAR Filer Manual (Volume I) General Information (Version 23)

Implementation Date: September 14, 2015

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 in their preparation of responses to 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 23) 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 changes outlined in this draft manual, if approved, are scheduled to take effect on September 14, 2015 for non-rule based changes or on the rule effective date for changes related to SEC rules. See SEC Final Rules posted on the SEC's Public Website for information on the rule effective date. The final version of the manual will be made available, if approved by the Commission, on or about September 14, 2015, on the SEC's Public Website.

EDGAR Updates

On September 14, 2015, EDGAR Release 15.3 will introduce the following changes:

  • As part of the final rules adopted on January 14, 2015 for regulating Security-based Swap Data Repositories (SDR), the following submission form types will be added to EDGAR:
    • SDR-CCO - Annual Compliance Report and Annual Financial Report
    • SDR-CCO/A - Amendment to Annual Compliance Report and Annual Financial Report
    These submission form types can be accessed by selecting the 'EDGARLink Online Form Submission' link on the EDGAR Filing Website. Additionally, applicants may construct XML submissions for SDR-CCO and SDR-CCO/A by following the "EDGARLink Online XML Technical Specification" document available on the SEC's Public Website (http://www.sec.gov/info/edgar.shtml).
    Submission form types SDR-CCO and SDR-CCO/A will include the "Request Confidentiality" check box to allow applicants to request confidential treatment for each attached document. After an SDR-CCO or SDR-CCO/A filing is submitted, SEC staff will review the submission and make a determination of whether the information for which confidential treatment is requested should be made public. EDGAR will only disseminate the attached documents of the submission that the SEC staff has determined to be public.
  • New exhibit EX-36 (Depositor Certification for shelf offerings of asset-backed securities) will be available on EDGARLink Online for submission form types SF-3, SF-3/A, 8-K, and 8-K/A. This change will allow registrants to file a certification required for shelf offerings of asset-backed securities as an EX-36. Filers will have the option to attach exhibit EX-36 in official HTML or ASCII format (and unofficially in PDF format) on submission form types SF-3 and SF-3/A and on submission form types 8-K and 8-K/A, when the SIC code associated with the Primary Filer CIK is 6189 (Asset-Backed Securities).
  • EDGAR will be updated to include the following XBRL document types for submission form types SDR, SDR/A, SDR-A, and SDR-W:
    • EX-99.K SDR.INS, EX-99.K SDR.SCH, EX-99.K SDR.PRE, EX-99.K SDR.LAB, EX-99.K SDR.CAL, and EX-99.K SDR.DEF
    • EX-99.L SDR.INS, EX-99.L SDR.SCH, EX-99.L SDR.PRE, EX-99.L SDR.LAB, EX-99.L SDR.CAL, and EX-99.L SDR.DEF
  • Filers will now be able to submit SDR Exhibit K and Exhibit L in XBRL format for submission form types SDR, SDR/A, SDR-A, and SDR-W. Filers can continue to provide SDR Exhibit K and Exhibit L in ASCII or HTML formats for submission form types SDR, SDR/A, SDR-A, and SDR-W.
  • XBRL file attachments will be considered valid if they contain multiple identically tagged XBRL facts.
  • Documentation updates were made to Chapter 2 of the "EDGAR Filer Manual, Volume I: General Information" relating to Form NRSRO.
  • Formatting changes were made to "EDGAR Filer Manual, Volume I: General Information" for compliance with Section 508 of the U.S. Rehabilitation Act.

The Filer Manual is also being revised to address software changes made previously in EDGAR. On July 10, 2015, EDGAR Release 15.2.e.4 introduced the following change:

  • Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A, and 1-A POS were updated to prevent a filer from entering a response in Item 6(d) when the "None" option has been selected on Item 6.



Modified: 08/14/2015