Draft EDGAR Filer Manual (Volume II) EDGAR Filing (Version 41)
Implementation Date: March 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 II) (Version 41) 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 March 13, 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 March 13, 2017, on the SEC's Public Website.
Changes to the Draft EDGAR Filer Manual (Volume II) EDGAR Filing (Version 41) are being made to update the filer manual to reflect changes scheduled to be implemented on March 13, 2017.
On March 13, 2017, EDGAR Release 17.1 will introduce the following changes:
- Filers must use the new online version of the Transfer Agent forms TA-1, TA-1/A, TA-2, TA-2/A, and TA-W application available on the EDGAR Filing Website to file Transfer Agent forms. Filers can access the Transfer Agent forms by selecting the ‘File Transfer Agent Forms’ link on the EDGAR Filing Website. This web-based application will replace the EDGARLite application and the corresponding Microsoft InfoPath templates that were previously used to file these forms. The EDGARLite application and the corresponding Microsoft InfoPath templates used to file the Transfer Agent forms will be retired on March 10, 2017. Chapter 8 (Preparing and Transmitting EDGARLite Submissions) of the “EDGAR Filer Manual, Volume II: EDGAR Filing” will be retired. Two new sections, ‘File Transfer Agent Forms’ and ‘Completing a Transfer Agent Form’ will be added to the former Chapter 9 (new Chapter 8 - Preparing and Transmitting Online Submissions) of the “EDGAR Filer Manual, Volume II: EDGAR Filing” to guide filers through the filing process. Filers can continue to construct XML submissions as described in the XML Technical Specification documents for Transfer Agent forms, and submit them via the EDGAR Filing Website.
- EDGAR will be updated to allow filers to submit duplicate filings for submission form type 10-D.
- EDGAR will be upgraded to allow filers to provide up to four digits after the decimal point for the “Price per security” field for 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.
- EDGAR will be updated to make a number of technical modifications associated with the recent effectiveness of the asset-level disclosure requirements for certain asset-back issuers:
- Restriction on future dates for ABS-EE and ABS-EE/A “End Date” will be removed.
- EDGAR will be upgraded to suspend ABS-EE filings if the EX-102 XML attachment fails validation.
- The ABS-EE Asset Data schema will be updated to rename the following Asset Class Item to:
- Debt Securities ABS Asset Class: Item 5(d)(8), Actual Interest Collection Amount
- Filers will be able to provide Asset Class Items with a future date up to 12/2150 or 12-31-2150, depending on the date format of the Asset Class Item.
- Filers will be able to provide underscores (“_”) in any portion of the “Notification E-mail Address” and “Submission Contact E-mail Address” fields within X-17A-5 and X-17A-5/A submissions. All ASCII character validations will be removed for broker-dealer entity name fields for submission form types X-17A-5 and X-17A-5/A. Broker-dealers now will be able to submit the aforementioned filings, irrespective of the ASCII characters in those fields.
- Submission form types SDR, SDR/A, SDR-A, and SDR-W will no longer require the XBRL dei:EntityFilerCategory element to be provided for the following XBRL document types:
- EX-99.SDR K.INS (Traditional XBRL)
- EX-99.SDR L.INS (Traditional XBRL)
- EX-99.SDR K (Inline XBRL)
- EX-99.SDR L (Inline XBRL)
- Filers will now be able to upload the notarized authentication document and the power of attorney as separate CORRESP documents when submitting a request to manually update their passphrase on the EDGAR Filer Management Website (https://www.filermanagement.edgarfiling.sec.gov).
On March 6, 2017, EDGAR Release 17.0.3 introduced the following changes:
- The EDGAR system was upgraded to Release 17.0.3 and now supports the 2017 US GAAP taxonomy. Please see https://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete listing of supported standard taxonomies.