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

DRAFT EDGAR Filer Manual (Volume II)

Update (March 14, 2012): Deployment of new online Form N-SAR application has been postponed until July 09, 2012.

The EDGAR Filer Manual Volume II will be corrected with the underlined text documented below:

  • Page 9-91:
    • Ensure that the Total value provided for 'Total NAV of Registrant's/Series' share sales during the period subject to a sales load' (28H) is less than or equal to the sum of New Sales including Exchanges (28G1) + Reinvestment of Dividends and Distributions (28G2) + Other (28G3). The margin of error allowed is 3.
  • Page A-11:
    • MSG: Questions from 62B to 62R are required to be answered with a value greater than or equal to 0 when question 62A is answered 'Y'.
    • DESCRIPTION OF ERROR: You answered question 62A as 'Y' but answered questions 62B to 62R with a value less than 0.
    • SOLUTION: Answer question 62A as 'N' or provide values greater than or equal to 0 for 62B to 62R.

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 II) (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 Filing Manual (Volume II) - General Information (Version 19) are being made to update the filer manual to reflect changes scheduled to be implemented on March 26, 2012 and April 09, 2012.

On March 26, 2012, EDGAR Release 12.0 will introduce the following changes:

  • EDGAR will be updated to support the US GAAP 2012 Taxonomy and Mutual Fund Risk/Return Summary 2012 Taxonomy. Please see http://sec.gov/info/edgar/edgartaxonomies.shtml for a complete listing of supported standard taxonomies.
  • For submission form types N-PX-NT, N-PX-VR, N-PX-CR, and their amendments, the “Period” field will be updated to allow any valid date other than a future date.
  • The OMB expiration date will no longer be displayed on Forms D, 3, 4, and 5.
  • The maximum size of a submission, including all attached documents, through EDGAR Online Forms Management and EDGAR Filer Management websites will be 200 MB.
  • The Confirmation and Acknowledgement screens on the EDGAR Filer Management Website, which currently display the filer support fax numbers, will be updated to include the new fax numbers for Corporation Finance, Investment Management, and Trading and Markets Divisions.

The filer manual is also being revised to support the retirement of the DOS based Form N-SAR application and the introduction of the new online N-SAR application.  On April 09, 2012, EDGAR Release 12.0.1 will introduce the following changes:

  • The DOS based application to create Form N-SAR documents will be retired and EDGAR will no longer accept filings created by that application. Form N-SAR may only be filed using the online version of the form available on the EDGAR Filing Website or constructed by filers according to the new EDGAR N-SAR XML Technical Specification, available on the Commission’s public website’s “Information for EDGAR Filers” webpage (http://www.sec.gov/info/edgar.shtml).  Submission form types NSAR-A, NSAR-A/A, NSAR-AT, NSAR-AT/A, NSAR-B, NSAR-BT, NSAR-BT/A, NSAR-U, and NSAR-U/A can be accessed by selecting the ‘File Form N-SAR’ link on the EDGAR Filing Website.  Filers submitting submission form type NSAR-U should continue to prepare the text document with the applicable answers and attach it to the NSAR-U submission form type accessible from the ‘File Form N-SAR’ link on the EDGAR Filing Website.
  • Instructions to file Form N-SAR will be included in two  new sections of Chapter 9 (Preparing and Transmitting Online Submissions) of the EDGAR Filer Manual, Volume II: EDGAR Filing, Section 9.2.5 (File Form N-SAR) and Section 9.2.6 (Completing a Form N-SAR Submission). On April 9, 2012, the EDGAR Filer Manual, Volume III: N-SAR Supplement will be retired. 

You may download the DRAFT EDGAR Filing Manual (Volume II) EDGAR Filing (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 II.



Modified: 02/23/2012