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EDGAR Filer Manual (Volumes I - III)

The current version of the EDGAR Filer Manual Volumes I - III can be downloaded from the links below.

EDGAR Filer Manual (Volume I) General Information (Version 22)
Updated: August 2015

Volume I, General Information, covers the EDGAR application process, outlines how to keep company data current and provides a brief introduction to the filing process. Volume I is intended to be a reference for those that need to obtain EDGAR access, those that are new to EDGAR and those that are responsible for keeping company information current.

Volume I was revised to support:

  • 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 to Annual Certification
    • NRSRO-FR – Annual Financial Reports (Rule 17g-3)
    • NRSRO-FR/A – Amendment to Annual Financial Reports (Rule 17g-3)
    • 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:
    • 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

  • A 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 compliance with Section 508 of the U.S. Rehabilitation Act.

On June 18, 2015, EDGAR Release 15.2.0.1 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.”

EDGAR Filer Manual (Volume II) EDGAR Filing (Version 33)
Updated: August 2015

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:

  • 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 to Annual Certification
    • NRSRO-FR – Annual Financial Reports (Rule 17g-3)
    • NRSRO-FR/A – Amendment to Annual Financial Reports (Rule 17g-3)
    • 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:
    • 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

  • A 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 compliance with Section 508 of the U.S. Rehabilitation Act.

On June 18, 2015, EDGAR Release 15.2.0.1 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.”

EDGAR Filer Manual (Volume III) N-SAR Supplement (Version 4)
Effective Date: October 2014

EDGAR Filer Manual (Volume III), N-SAR Supplement, is the guide for preparing the electronic submission of Form N-SAR.

Volume III was revised to support the following changes to EDGAR:

  • The Login and Frequently Asked Questions (FAQ) screens for all EDGAR websites, the EDGAR Portal, and the EDGAR Company Database will be updated to specify Internet Explorer 8.0 as the recommended browser and Firefox 24.x as an additionally compatible browser.
  • Section 2.1 of the "EDGAR Filer Manual, Volume III: N-SAR Supplement" has been revised to update the N-SAR hardware and software requirements. (Note: The procedure for filing Form N-SAR, the Semi-Annual Report for Registered Investment Companies has not changed.)

 

 

http://www.sec.gov/info/edgar/edmanuals.htm


Modified: 08/03/2015