DRAFT EDGAR Filer Manual (Volume II)
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 II) (Version 31) 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 the Rule Effective date for 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 May 11, 2015, on the SEC's Public Website.
EDGAR Filer Manual (Volume II), EDGAR Filing, focuses entirely on the filing process. It illustrates each step of the process to submit an electronic submission and helps filers understand the tools provided by the SEC for constructing and transmitting those submissions. This volume is intended to be a reference for those that are responsible for submitting filings to the SEC via the EDGAR system.
Volume II was revised to support:
- EDGAR will be updated to add Regulation A submission form types DOS, DOS/A, DOSLTR, 1-A, 1-A/A, 1-A POS, 1-A-W, 1-A-W/A, 253G1, 253G2, 253G3, 253G4, 1-K, 1-K/A, 1-SA, 1-SA/A, 1-U, 1-U/A, 1-Z, 1-Z/A, 1-Z-W, and 1-Z-W/A.
- New filers will now be able to select the "Regulation A" option on the Form ID application to indicate that they are submitting an application for EDGAR access to file draft offering statements. If filers have an assigned Central Index Key (CIK), they must use the existing CIK to file draft offering statements.
- Regulation A submission form types can be accessed from the "File Regulation A Forms" screen. This screen can be accessed by selecting the 'Regulation A' or 'Draft Offering Statement' link on the EDGAR Filing Website. Alternatively, this screen can be accessed by selecting the 'REG A' link on the "EDGARLink Online Submission Type Selection" screen.
- Issuers who qualify to submit draft offering statements under Regulation A must prepare and submit their draft offering statements using submission form types DOS and DOS/A. Issuers must submit correspondences related to draft offering statements using the submission type, "Draft Offering Statement Letter" (DOSLTR).
- Issuers who submit draft offering statements for non-public review will have the ability to publicly disseminate previously submitted drafts by selecting the 'Disseminate Draft Offering Statement' link on the "File Regulation A Forms" screen of the EDGAR Filing Website.
- Issuers may construct XML submissions for Regulation A submission form types with the exception of DOS, DOS/A, and DOSLTR. Issuers must follow the "EDGARLink Online XML Technical Specification" document to construct XML submissions for submission form types 1-A-W, 1-A-W/A, 1-SA, 1-SA/A, 1-U, 1-U/A, 253G1, 253G2, 253G3, 253G4, 1-Z-W, and 1-Z-W/A. Issuers must follow the "EDGAR REG A XML Technical Specification" document to construct XML submissions for submission form types 1-A, 1-A/A, 1-A POS, 1-K, 1-K/A, 1-Z, and 1-Z/A. The Technical Specification documents are available on the SEC's Public Website (http://www.sec.gov/info/edgar.shtml).