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Draft EDGAR Filer Manual (Volume II) EDGAR Filing (Version 33)

Implementation Date: August 3, 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 II) (Version 33) 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 August 3, 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 August 3, 2015, on the SEC's Public Website.

EDGAR Updates

EDGAR Release 15.2.2 will introduce the following changes:

  • Form NRSRO filers must now use the following new submission form types available on EDGARLink Online to electronically submit their filings via EDGAR:
    • NRSRO-UPD - Update of Registration
    • NRSRO-CE - Annual Certification
    • NRSRO-CE/A - Amendment for Annual Certification
    • NRSRO-FR - Annual Financial Reports
    • NRSRO-FR/A - Amendment for Annual Financial Reports
    • NRSRO-WCLS - Withdrawal from Credit Rating Class
    • NRSRO-WREG - Withdrawal from Registration
    These submission form types can be accessed by selecting the 'EDGARLink Online Form Submission' link on the EDGAR Filing Website. Additionally, filers may construct XML submissions for these submission form types by following the "EDGARLink Online XML Technical Specification" document available on the SEC's Public Website (http://www.sec.gov/info/edgar.shtml).
  • Filers will now be able to select the following new Applicant Types, when completing the process to apply for EDGAR access (New) on the EDGAR Filer Management Website:
    • Funding Portal
    • Nationally Recognized Statistical Rating Organization
    • Security-Based Swap Data Repository
    • Security-Based Swap Dealer and Major Security-Based Swap Participant
    • Security-Based Swap Execution Facility
  • Documentation only change was made to Chapter 3, "Index to Forms," of the "EDGAR Filer Manual, Volume II: EDGAR Filing," to update submission form types SF-1 and SF-3 in Table 3-1, "Securities Act Submission Types Accepted by EDGAR."
  • Documentation only changes were made to "EDGAR Filer Manual, Volume I: General Information" for Section 508 compliance.

The Filer Manual is also being revised to address software changes made previously in EDGAR. On June 18, 2015, EDGAR Release introduced the following changes:

  • Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, 1-K/A 1-Z, and 1-Z/A were modified to display updated OMB Information. The Regulation A screens in Chapter 9 of "EDGAR Filer Manual Volume II: EDGAR Filing" were updated with OMB Information.

On June 29, 2015, EDGAR Release 15.2.e.3 introduced the following changes:

  • Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A, and 1-A POS were updated to allow filers to optionally enter values in the following fields if a value of zero was provided in the "Units Outstanding" field for the three types of securities: Common Equity, Preferred Equity, and Debt Securities:
    • Name of Class (if any)
    • CUSIP (if any)
    • Name of Trading Center or Quotation Medium (if any)
  • Item 6(e) was updated to Item 6(d) on "Item 6: Unregistered Securities Issued or Sold Within One Year" for Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A, and 1-A POS. Additionally, Item 6(d) was updated to optionally allow a response if "None" is selected on "Item 6: Unregistered Securities Issued or Sold Within One Year."



Modified: 07/02/2015