EDGAR Filer Manual (Volumes I - III)

EDGAR Filer Manual (Volume I) General Information (Version 27)
Implementation Date: March 2017

On March 13, 2017, EDGAR Release 17.1 will introduce the following changes:

  • The Microsoft InfoPath templates used to file Transfer Agent forms TA-1, TA-1/A, TA-2, TA-2/A, and TA-W will be retired on March 10, 2017.

    Effective March 13, 2017, filers must use the new online version of the forms application available on the EDGAR Filing Website to file Transfer Agent forms. This web-based application will replace the corresponding Microsoft InfoPath templates that were previously used to file these forms. Filers can access Transfer Agent forms by selecting the ‘File Transfer Agent Forms’ link on the EDGAR Filing Website.

    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 upgraded to include the following changes to submission form types ABS-EE and ABS-EE/A:
    • The restriction on future dates for ABS-EE and ABS-EE/A in the “End Period Date” EDGAR Header Tag will be removed.
    • ABS-EE filings will be suspended if the EX-102 XML attachment fails validation.
    • In addition, the ABS-EE Asset Data schema will be updated with the following changes:
      • Debt Securities ABS Asset Class: Item 5(d)(8), will be renamed to Actual Interest Collection Amount.
      • Filers will be able to provide future dates through December 31, 2150 in response to Asset Class Items that require a date.

    For more information, see the updated "EDGAR ABS XML Technical Specification" document available on the SEC's Public Website (https://www.sec.gov/info/edgar/tech-specs).

  • 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.

    In addition, 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 can 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)
  • Submission types N-MFP2 and N-MFP2/A will be updated to allow filers to choose both “Exempt Government” and “Treasury” as the category of the fund in Item A.10 of the form.

    For more information, see the updated "EDGAR Form N-MFP2 XML Technical Specification" document available on the SEC's Public Website (https://www.sec.gov/info/edgar/tech-specs).

  • 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.

On March 6, 2017, EDGAR Release 17.0.3 introduced the following change:

  • EDGAR was updated to support the US GAAP 2017 Taxonomy and updated SEC taxonomies COUNTRY, CURRENCY, EXCH and NAICS. Please see https://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete listing of supported standard taxonomies.
  • Taxonomy Disclosure Templates have been made available to be used as part of the filer’s extension taxonomy based on examples in the Taxonomy Implementation Guides. Please see Release Notes for US GAAP 2017 for more details.

EDGAR Filer Manual (Volume II) EDGAR Filing (Version 41)
Updated: March 2017

On March 13, 2017, EDGAR Release 17.1 will introduce the following changes:

  • The Microsoft InfoPath templates used to file Transfer Agent forms TA-1, TA-1/A, TA-2, TA-2/A, and TA-W will be retired on March 10, 2017.

    Effective March 13, 2017, filers must use the new online version of the forms application available on the EDGAR Filing Website to file Transfer Agent forms. This web-based application will replace the corresponding Microsoft InfoPath templates that were previously used to file these forms. Filers can access Transfer Agent forms by selecting the ‘File Transfer Agent Forms’ link on the EDGAR Filing Website.

    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 upgraded to include the following changes to submission form types ABS-EE and ABS-EE/A:
    • The restriction on future dates for ABS-EE and ABS-EE/A in the “End Period Date” EDGAR Header Tag will be removed.
    • ABS-EE filings will be suspended if the EX-102 XML attachment fails validation.
    • In addition, the ABS-EE Asset Data schema will be updated with the following changes:
      • Debt Securities ABS Asset Class: Item 5(d)(8), will be renamed to Actual Interest Collection Amount.
      • Filers will be able to provide future dates through December 31, 2150 in response to Asset Class Items that require a date.

    For more information, see the updated "EDGAR ABS XML Technical Specification" document available on the SEC's Public Website (https://www.sec.gov/info/edgar/tech-specs).

  • 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.

    In addition, 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 can 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)
  • Submission types N-MFP2 and N-MFP2/A will be updated to allow filers to choose both “Exempt Government” and “Treasury” as the category of the fund in Item A.10 of the form.

    For more information, see the updated "EDGAR Form N-MFP2 XML Technical Specification" document available on the SEC's Public Website (https://www.sec.gov/info/edgar/tech-specs).

  • 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.

On March 6, 2017, EDGAR Release 17.0.3 introduced the following change:

  • EDGAR was updated to support the US GAAP 2017 Taxonomy and updated SEC taxonomies COUNTRY, CURRENCY, EXCH and NAICS. Please see https://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete listing of supported standard taxonomies.
  • Taxonomy Disclosure Templates have been made available to be used as part of the filer’s extension taxonomy based on examples in the Taxonomy Implementation Guides. Please see Release Notes for US GAAP 2017 for more details.

EDGAR Filer Manual (Volume III) N-SAR Supplement (Version 6)
Effective Date: January 2017

This 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 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 III) (Version 6) is subject to Commission approval and may be revised before approval or not approved at all. Similarly, the posting of the manual does not indicate Commission approval of any pending proposed changes relating to the potential changes reflected in the manual. The changes outlined in this manual, if approved, are scheduled to take effect on January 30, 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 January 30, 2017 on the SEC's Public Website.

Changes to the EDGAR Filer Manual (Volume III) N-SAR Supplement (Version 6) are being made to update the filer manual to reflect changes scheduled to be implemented on January 30, 2017.

EDGAR Updates

On January 30, 2017, EDGAR Release 17.0.2 will introduce the following changes:

  • The EDGAR Portal, EDGAR Company Database, and the landing pages for all EDGAR websites will be updated to remove any reference to Internet Explorer (IE) 8.0 and Firefox version 24.x, and to update the language so that vendor supported versions of IE and Google Chrome are the recommended browsers. The references to IE 8.0 and Firefox version 24.x will be deleted in "EDGAR Filer Manual, Volume III: N-SAR Supplement".