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DRAFT EDGAR Filer Manual (Volume I) General Information (Version 4)

DRAFT EDGAR Filer Manual (Volume II) EDGAR Filing (Version 5)

This draft EDGAR Filer Manual (Volumes I, II), 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 prepare for 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 (Volumes I, II) 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 May 21, 2007 or as approved by the Commission. The final version of the updated manual volumes will be made available as and if approved by the Commission on the SEC's Public Website.

On May 21, 2007, the EDGAR system will be upgraded to Release 9.6 primarily to support the amended rules and forms adopted by the Commission that govern when a foreign private issuer may terminate the registration of a class of equity securities under section 12(g) of the Securities Exchange Act of 1934 ("Exchange Act") and the corresponding duty to file reports required under section 13(a) of the Exchange Act, and when it may cease its reporting obligations regarding a class of equity or debt securities under section 15(d) of the Exchange Act.

Specifically, the EDGAR Release 9.6 changes include:

  • Establishing that new submission form types 15F-12B, 15F-12B/A, 15F-12G, 15F-12G/A, 15F-15D, 15F-15D/A can be filed on EDGAR as of June 4, 2007; These submission form types are available in EDGARLink Submission Template 3;
  • Upgrade of the EDGARLink Java Runtime Environment (JRE) from version 1.4 to 1.5. Filers can download the new version of EDGARLink for this technological update, but are not required to do so to file the new submission form types listed above;

These filer manual revisions include previously implemented EDGAR updates to address other rules adopted by the Commission.

  • Addition of an “Accelerated Filer Status” indicator to EDGARLink submission headers that is required for the following form types: 10-K, 10-K/A, 10-KT, 10-KT/A, 20-F, and 20-F/A; and the addition of the following accelerated filer classification values (large accelerated filer, accelerated filer, non-accelerated filer, not applicable) (Rel 9.5)
  • Addition of a required “Duty to File Reports Remains” indicator in EDGARLink submission headers for form types 15-12B, 15-12B/A, 15-12G, 15-12G/A, 15-15D, 15-15D/A, 15F-12B, 15F-12B/A, 15F-12G, 15F-12G/A, 15F-15D, 15F-15D/A (Rel 9.5)
  • Addition of the following form types to be filed electronically: TA-1, TA-1/A, TA-2, TA-2/A, TA-W (Rel 9.5.c)
  • Addition of the new EDGARLite tool that uses a Commercial-off-the-Shelf (COTS) product called Microsoft InfoPath to generate filing documents encoded in Extensible Markup Language (XML) (Rel 9.5.c)

Finally, the filer manual includes certain draft revisions that were prepared to support the possible expansion of the current interactive data/eXtensible Business Reporting Language (XBRL) voluntary reporting program to enable mutual funds to submit exhibits containing tagged risk/return summary information attached to N-1A submission types. See Proposing Release No. 33-8781 (February 6, 2007) [72 FR 6676]. Any revisions to the manual on this subject would take effect only when and if the expanded voluntary program were to be approved and become effective.

The updated EDGAR Filer volumes can be downloaded from the links below.

* Download the DRAFT EDGAR Filer Manual (Volume I) General Information (Version 4)
* Download the DRAFT EDGAR Filer Manual (Volume II) EDGAR Filing (Version 5)



Modified: 05/16/2007