Draft EDGAR Filer Manual (Volume II) EDGAR Filing (Version 45)
Implementation Date: March 2018
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 45) 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 12, 2018 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 12, 2018, on the SEC’s Public Website.
EDGAR Updates
On March 12, 2018, EDGAR Release 18.1 will introduce the following changes:
- 13H Filers that are individuals that do not have a Tax Identification Number (TIN) should immediately discontinue providing their Social Security number in the (TIN) field on Form 13H. If an individual filer does not have a TIN, then provide a value of ‘000-00-0000.’ See Chapter 8 (Preparing and Transmitting Online Submissions) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”
- EDGAR will be updated to add the following new submission form type to EDGARLink Online:
- SF-1MEF: A new registration statement filed under Securities Act Rule 462(b) to add securities to a prior related effective registration statement filed on Form SF-1.
The new SF-1MEF submission form type will be accessible by selecting the 'EDGARLink Online Form Submission' link on the EDGAR Filing Website. Additionally, filers may construct XML submissions for this submission form type 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.”
- EDGAR will be updated to add the following new submission form type to EDGARLink Online:
- 486BXT: Post-effective amendment filed pursuant to Securities Act Rule 486(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 486(a) (this filing cannot be submitted as a 1940 Act only filing)
- In Release No. 33-10332 (82 FR 17545) adopted March 31, 2017, the Commission made changes of inflation adjustments and other technical amendments pursuant to Titles I & II of the JOBS Act. Changes to certain forms were made to provide an electronic method for an emerging growth company to notify the Commission of its status as an emerging growth company and to indicate whether the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards. Submission form types DRS and DRS/A will be revised to require the Emerging Growth Company indicators. See Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions) of the "EDGAR Filer Manual, Volume II: EDGAR Filing."
- Form ID will be updated to allow the filer to indicate whether the access codes are for submitting a draft registration or draft offering statement. See Chapter 3 (Becoming an EDGAR Filer) of the “EDGAR Filer Manual, Volume I: General Information.”
- EDGAR will suspend ABS-EE and ABS-EE/A submissions (along with Combined 10-D/ABS-EE submissions and their amendments) if the Reporting Period Begin Date is after the Reporting Period End Date. See Appendix A (Messages Reported by EDGAR) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”
- EDGAR will be updated to allow multiple accession numbers and series IDs in the header of NPORT-EX and NPORT-EX/A submissions. This will allow filers to make a single submission for multiple series. See Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions) and Appendix A (Messages Reported by EDGAR) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”
- Submission form types N-CEN and N-CEN/A will be updated to allow Filer Investment Company Types N-1A, N-2, and N-3 to skip Part C when all of their series are terminated. See Chapter 8 (Preparing and Transmitting Online Submissions) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”
- Submission form types MA-I & MA-I/A will be updated to allow filers to sort the dates in reverse chronological order in Item 3 Residential History, and Item 4 Employment History. In addition, overlapping dates in Item 3 will be allowed. Submission form type MA-W will only allow SEC file numbers with an “867” prefix. See Chapter 8 (Preparing and Transmitting Online Submissions) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”
- EDGAR will be updated to reflect the 2018 versions of taxonomy updates. See Chapter 5 (Constructing Attached Documents and Document Types) and Chapter 6 (Interactive Data) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”
EDGAR Release 18.1 will also implement a number of other changes that do not impact the EDGAR Filer Manual, which are detailed in the Release Notes.