Draft EDGAR Filer Manual (Volume II) EDGAR Filing (Version 44)

Implementation Date: December 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 44) 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 December 11, 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 December 11, 2017, on the SEC’s Public Website.

Changes to the Draft EDGAR Filer Manual (Volume II) EDGAR Filing (Version 44) are being made to update the filer manual to reflect changes scheduled to be implemented on December 11, 2017.

EDGAR Updates

On December 11, 2017, EDGAR Release 17.4 will introduce the following changes:

  • EDGAR will be updated to allow (but not require) Asset Backed Securities filers to jointly submit Form 10-D and Form ABS-EE filings in a combined, single submission (a “Combined 10-D/ABS-EE”) so that Form 10-D can contain hyperlinks to the Form ABS-EE exhibits that are incorporated by reference into the Form 10-D filing.

    This change will allow filers to submit these filings concurrently and to create hyperlinks in Form 10-D to the Form ABS-EE exhibits. Filers will still have the option of filing submission form types 10-D, 10-D/A, ABS-EE, and ABS-EE/A as separate submissions. In a combined submission:

    • The two forms that are submitted as part of a combined submission will generate their own accession numbers.
    • When filed in a combined submission, the “Period” value for the Form 10-D and Form 10-D/A portion may be a future period value since it will use the “End Period” value of the Form ABS-EE and Form ABS-EE/A portion. Submission form types 10-D and 10-D/A will not allow a future value for the “Period” value when submitted as individual filings.
    • The maximum allowable submission size for a Combined 10-D/ABS-EE submission will be 800 MB, with 600 MB for the ABS-EE submission form type and 200 MB for the 10-D submission form type (and their respective amendments).
  • Filers may construct XML submissions for a Combined 10-D/ABS-EE submission by following the "EDGARLink Online XML Technical Specification" document available on the SEC's Public Website (https://www.sec.gov/info/edgar/tech-specs). See Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions) and Appendix E (Automated Conformance Rules for EDGAR Data Fields) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”

  • EDGAR will be updated to add the following new submission form type to EDGARLink Online:
    • CERT: Certification by an exchange approving securities for listing
  • The new CERT submission form type will be accessible by selecting the 'EDGARLink Online Form Submission' link on the EDGAR Filing Website.

    National Securities Exchanges may complete the new CERT submission form type to certify the registration and listing of securities on the Exchange. As part of this submission, the Exchange must provide the CIK of the registrant for the “Registrant CIK” field. The primary official document “CERT” will only be accepted in PDF format. See Chapter 3 (Index to Forms), Chapter 5 (Constructing Attached Documents and Document Types), Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions), Appendix A (Messages Reported by EDGAR), and Appendix C (EDGAR Submission Types) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”

  • EDGAR will be updated to add the following new submission form types to EDGARLink Online:
    • N-LIQUID: Current Report Open-End Management Investment Company Liquidity
    • N-LIQUID/A: Amendment to a Current Report Open-End Management Investment Company Liquidity
  • The new N-LIQUID and N-LIQUID/A submission form types will be accessible 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 (https://www.sec.gov/info/edgar/tech-specs). See Chapter 3 (Index to Forms) and Appendix C (EDGAR Submission Types) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”
  • For an N-CEN/A submission created by loading data from a previously accepted N-CEN or N-CEN/A filing for the same period-end, a filer must re-attach all attachments filed with the previous submission in addition to making the intended changes in the data on the form. Filers should also confirm that information in the Signature section is accurate. See Chapter 8 (Preparing and Transmitting Online Submissions) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”

EDGAR Release 17.4 will also implement a number of other changes that do not impact the EDGAR Filer Manual, which are detailed in the Release Notes.