Draft EDGAR Filer Manual (Volume I) General Information (Version 26)

Implementation Date: January 2017

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 26) 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 January 30, 2017 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 January 30, 2017, on the SEC’s Public Website.

Changes to the Draft EDGAR Filer Manual (Volume I) General Information (Version 26) are being made to update the filer manual to reflect changes scheduled to be implemented on January 30, 2017.

EDGAR Updates

On January 30, 2017, EDGAR Release 17.0.2 will introduce the following changes:

  • EDGAR will be upgraded with an enhanced authentication process to increase the security surrounding a filer’s request for a passphrase update. This includes a one-time security token which will be emailed to the registrant at the email address on record. If the email on record is not valid, the filer will need to provide authorization to have their codes reset, and in the case of a company, the request must be on company letterhead. If a Power of Attorney (POA) is provided, it must be manually signed. For more information, please refer to Section 4.1.1 of “EDGAR Filer Manual Volume I: General Information”.
  • Filers will have the option to add one or more attachments of type “FULL” to submission form types X-17A-5 and X-17A-5/A, which can be designated as “Public” or “Confidential.” If a “FULL” attachment designated as “Public” is attached, then all other attachment types are optional.
  • The EDGAR Portal, EDGAR Company Database, and the landing pages for all EDGAR websites will be updated to remove any reference to Internet Explorer (IE) 8.0 and Firefox version 24.x, and to update the language so that vendor supported versions of IE and Google Chrome are the recommended browsers. The references to IE 8.0 and Firefox version 24.x will be deleted in “EDGAR Filer Manual, Volume I: General Information” and “EDGAR Filer Manual, Volume II: EDGAR Filing”.