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 24)
Updated: December 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:

  • Broker-dealers will now be able to submit Form X-17A-5 Part III in electronic format using the following submission form types:
    • X-17A-5 (Annual Reports)
    • X-17A-5/A (Amendment to Annual Reports)
    These submission form types can be accessed by clicking the "File X-17A-5 Part III" link on the EDGAR Filing Website. Additionally, filers may construct XML submissions for X-17A-5 and X-17A-5/A by following the "EDGAR Form X-17A-5 XML Technical Specification" document located on the SEC's Public Website (http://www.sec.gov/info/edgar.shtml). Form X-17A-5 Part III will continue to be accepted in paper format. Submission form types X-17A-5 and X-17A-5/A will include the "Request Confidentiality" check box to allow applicants to request confidential treatment for each attached document that is not required to be made public. EDGAR will not disseminate the attached documents of the submission that are designated as confidential.
  • Pursuant to Regulation Crowdfunding, EDGAR will be updated to include the following new submission form types:
    • C: Offering Statement
    • C-W: Offering Statement Withdrawal
    • C-U: Progress Update
    • C-U-W: Progress Update Withdrawal
    • C/A: Amendment to Offering Statement
    • C/A-W: Amendment to Offering Statement Withdrawal
    • C-AR: Annual Report
    • C-AR-W: Annual Report Withdrawal
    • C-AR/A: Amendment to Annual Report
    • C-AR/A-W: Amendment to Annual Report Withdrawal
    • C-TR: Termination of Reporting
    • C-TR-W: Termination of Reporting Withdrawal
  • Issuers can access these submission form types from the "Regulation Crowdfunding" link on the EDGAR Filing Website. Additionally, issuers may construct XML submissions for these submission form types by following the "EDGAR Form C XML Technical Specification" document located on the SEC's Public Website (http://www.sec.gov/info/edgar.shtml).
  • In connection with amendments to the rules governing money market mutual funds (or "money market funds") under the Investment Company Act of 1940, the following changes will be made:
    • EDGAR will be updated to include two new submission types - N-MFP1 and N-MFP1/A - to incorporate the amendments to Form N-MFP adopted by the Commission on July 23, 2014.
    • These two new submission types will be accepted from the EDGAR Filing Website via filer-constructed XML submissions, as described in the Form N-MFP1 XML Technical Specification available on the SEC's Public Website (http://www.sec.gov/info/edgar.shtml).
      • EDGAR will only accept TEST submissions for submission form types N-MFP1 and N-MFP1/A until April 14, 2016.
      • Beginning April 14, 2016 submission form types N-MFP1 and N-MFP1/A will be accepted as LIVE submissions.
      • Filers will be prevented from submitting existing submission form type N-MFP beginning April 14, 2016.
    • EDGAR will be updated to automatically disseminate money market fund information upon acceptance of the N-MFP1 and N-MFP1/A submissions.
  • EDGAR will be updated to disseminate raw and rendered XBRL documents. The rendered XBRL documents will be displayed as human-readable documents.
  • EDGAR will be updated to accept negative values for the following fields in Item 1 of submission form types 1-A, 1-A/A, 1-A POS, DOS, and DOS/A:
    • Total Assets
    • Total Stockholders' Equity
    • Total Liabilities and Equity

On January 25, 2016, EDGAR Release 16.0.1 will introduce the following changes:

  • Filers will now be able to select the new "Funding Portal" Applicant Type when completing the process to apply for EDGAR access (New) on the EDGAR Filer Management Website.
  • Pursuant to the Regulation Crowdfunding rule, Funding Portals will be able to register with the Commission, amend their registration and withdraw from their registration, using the following new submission form types:
    • CFPORTAL - Form Funding Portal: Initial application of funding portal
    • CFPORTAL/A - Form Funding Portal/A: Amendment to registration, including a successor registration
    • CFPORTAL-W - Form Funding Portal-W: Withdrawal of the funding portal's registration
  • These submission form types can be accessed by clicking the "Regulation Crowdfunding" link on the EDGAR Filing Website. Additionally, filers may construct XML submissions for CFPORTAL, CFPORTAL/A, and CFPORTAL-W by following the "EDGAR Form CFPORTAL XML Technical Specification" document located on SEC's Public Website (http://www.sec.gov/info/edgar.shtml).

EDGAR Filer Manual (Volume II) EDGAR Filing (Version 38)
Updated: September 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:

  • An unregistered money market fund will now be able to file a report on submission form types N-CR and N-CR/A. When submitting N-CR and N-CR/A filings, filers that are unregistered money market funds can optionally provide values for the following fields:
    • Filer Investment Company Type
    • Series ID
    • Class (Contract) ID
  • ABS-EE Asset Data schemas will be updated to change the date format from MM/YYYY to MM-DD-YYYY for the following Asset Class Items:
    • CMBS Asset Class: Item 2(c)(12), First Loan Payment Due Date
    • Debt Securities Asset Class: Item 5(f)(3), Demand Resolution Date
    In addition, the codes and descriptions referencing CMSA will be updated to reference CREFC for the following Asset Class Items:
    • CMBS Asset Class: Item 2(d)(28)(xii), Net Operating Income Net Cash Flow Securitization Code
    • CMBS Asset Class: Item 2(d)(28)(xiii), Net Operating Income Net Cash Flow Code
    The ABS-EE Asset Data schemas will also be updated to allow whole integer numbers in decimal fields.
     
    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).
  • A Large Trader whose most recent 13H submission was a 13H-I (Inactive) will be able to subsequently submit a 13H-T (Termination), regardless of the elapsed time.
  • Documentation only corrections relating to XBRL were made to Chapter 5, "Constructing Attached Documents and Document Types" and Chapter 6 "Interactive Data" of the EDGAR Filer Manual: Volume II.

On August 29, 2016, EDGAR Release 16.2.4 introduced the following change:

  • EDGAR was updated to include two new submission form types - N-MFP2 and N-MFP2/A - to incorporate the amendments to Form N-MFP adopted by the Commission on September 16, 2015. These two new submission form types will be accepted from the EDGAR Filing Website via filer-constructed XML submissions, as described in the "EDGAR Form N-MFP2 XML Technical Specification" document available on the SEC's Public Website (https://www.sec.gov/info/edgar/tech-specs).
    • EDGAR will only accept TEST submissions for submission form types N-MFP2 and N-MFP2/A until October 13, 2016.
    • Beginning October 14, 2016, submission form types N-MFP2 and N-MFP2/A will be accepted as LIVE or TEST submissions.
    • Filers will be prevented from submitting existing submission form type N-MFP1 beginning October 14, 2016.
    • Filers will be prevented from submitting existing submission form type N-MFP1/A beginning October 14, 2017.

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.