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 25)
Updated: December 2016

This EDGAR Filer Manual (Volume I), General Information EDGAR Filing, 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 the following changes:

  • Filers will be able to submit the Municipal Advisor submission form types MA, MA-A, MA/A, MA-I, MA-I/A, and MA-W in filer-constructed XML format from the EDGAR Filing Website.  For more information, see the “EDGAR Form MA 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 up to 200 owners instead of 50 owners for Schedules A-1, A-2, B-1, and B-2 within MA, MA-A, and MA/A submissions (Schedules A-1, A-2, B-1, and B-2 are amended via Schedule C for MA-A and MA/A submissions).
  • EDGAR will be upgraded to allow an entity with any Standard Industrial Classification (SIC) code value or no value (NULL) to request the creation of ABS Issuing Entities.
  • EDGAR will be updated to allow duplicate submissions for ABS-EE.
  • EDGARLink Online will be updated for ABS-EE and ABS-EE/A submissions such that non-existent CIKs will be flagged as errors during header data entry instead of after the submission has been sent and processed by EDGAR.
  • The ABS-EE Asset Data schema will be updated to introduce the following Asset Class Item with date format MM/YYYY:
    • RMBS ABS Asset Class: Item 1(c)(13)(vi), Most Senior Lien Origination Date
  • In addition, the ABS-EE Asset Data schema will be updated to change the following Asset Class Item from an integer value to a percentage value:

    • CMBS ABS Asset Class: Item 2(c)(28)(iv), ARM Margin Number

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

  • EDGAR will transform word expressions for numbers, dates, and word or symbol expressions for QNames and nil expressions into their respective XML representations in Inline XBRL submissions. 
  • Filers will be able to provide typed dimensions in XBRL submissions.

    In addition, the following HTML tags will be usable in traditional XBRL documents: <SPAN>, <TBODY>, <TFOOT>, and <THEAD>.

  • All ASCII character validations will be removed for broker-dealer entity name fields on submission form types 17HACON, 17HACON/A, 17HQCON, and 17HQCON/A. Broker-dealers now will be able to submit the aforementioned filings, irrespective of the ASCII characters in the broker-dealer entity name.
  • Filers will be able to shift the order of the uploaded documents, and simultaneously select/de-select all uploaded documents on the “Attach Documents List” screen for the Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, and 1-K/A.

On October 31, 2016, the EDGAR system was upgraded to Release 16.3.3 and now supports the following changes:

  • The ABS-EE CMBS Asset Class Item 2(e)(17), “Payment Status Loan Code” associated types were updated to include the value “0” for loan payment status of “Current”.  For more information, see section 4.3.20 of the updated “EDGAR ABS XML Technical Specification” document located on the SEC’s Public Website (https://www.sec.gov/info/edgar/tech-specs).
  • The maximum allowable submission size for form types ABS-EE and ABS-EE/A was increased to 600 MB.
  • EDGAR was updated to remove the timeliness rule check, and to no longer verify if the submission form types NT 10-K, NTN 10K, NT 10-Q, NTN 10Q, NT 15D2, NTN15D2, NT 10-D, NTN 10D, NT 20-F, and NTN 20F were submitted before the filing deadline.

EDGAR Filer Manual (Volume II) EDGAR Filing (Version 39)
Updated: December 2016

This 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 the following changes:

  • Filers will be able to submit the Municipal Advisor submission form types MA, MA-A, MA/A, MA-I, MA-I/A, and MA-W in filer-constructed XML format from the EDGAR Filing Website.  For more information, see the “EDGAR Form MA 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 up to 200 owners instead of 50 owners for Schedules A-1, A-2, B-1, and B-2 within MA, MA-A, and MA/A submissions (Schedules A-1, A-2, B-1, and B-2 are amended via Schedule C for MA-A and MA/A submissions).
  • EDGAR will be upgraded to allow an entity with any Standard Industrial Classification (SIC) code value or no value (NULL) to request the creation of ABS Issuing Entities.
  • EDGAR will be updated to allow duplicate submissions for ABS-EE.
  • EDGARLink Online will be updated for ABS-EE and ABS-EE/A submissions such that non-existent CIKs will be flagged as errors during header data entry instead of after the submission has been sent and processed by EDGAR.
  • The ABS-EE Asset Data schema will be updated to introduce the following Asset Class Item with date format MM/YYYY:
    • RMBS ABS Asset Class: Item 1(c)(13)(vi), Most Senior Lien Origination Date
  • In addition, the ABS-EE Asset Data schema will be updated to change the following Asset Class Item from an integer value to a percentage value:

    • CMBS ABS Asset Class: Item 2(c)(28)(iv), ARM Margin Number

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

  • EDGAR will transform word expressions for numbers, dates, and word or symbol expressions for QNames and nil expressions into their respective XML representations in Inline XBRL submissions. 
  • Filers will be able to provide typed dimensions in XBRL submissions.

    In addition, the following HTML tags will be usable in traditional XBRL documents: <SPAN>, <TBODY>, <TFOOT>, and <THEAD>.

  • All ASCII character validations will be removed for broker-dealer entity name fields on submission form types 17HACON, 17HACON/A, 17HQCON, and 17HQCON/A. Broker-dealers now will be able to submit the aforementioned filings, irrespective of the ASCII characters in the broker-dealer entity name.
  • Filers will be able to shift the order of the uploaded documents, and simultaneously select/de-select all uploaded documents on the “Attach Documents List” screen for the Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, and 1-K/A.

On October 31, 2016, the EDGAR system was upgraded to Release 16.3.3 and now supports the following changes:

  • The ABS-EE CMBS Asset Class Item 2(e)(17), “Payment Status Loan Code” associated types were updated to include the value “0” for loan payment status of “Current”.  For more information, see section 4.3.20 of the updated “EDGAR ABS XML Technical Specification” document located on the SEC’s Public Website (https://www.sec.gov/info/edgar/tech-specs).
  • The maximum allowable submission size for form types ABS-EE and ABS-EE/A was increased to 600 MB.
  • EDGAR was updated to remove the timeliness rule check, and to no longer verify if the submission form types NT 10-K, NTN 10K, NT 10-Q, NTN 10Q, NT 15D2, NTN15D2, NT 10-D, NTN 10D, NT 20-F, and NTN 20F were submitted before the filing deadline.

EDGAR Filer Manual (Volume III) N-SAR Supplement (Version 5)
Effective Date: September 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:

  • Formatting changes were made to “EDGAR Filer Manual, Volume III:N-SAR Supplement” for compliance with Section 508 of the U.S. Rehabilitation Act. Note: The procedure for filing Form N-SAR, the Semi-Annual Report for Registered Investment Companies has not changed.