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U.S. Securities and Exchange Commission

Notice to EDGAR Filers:
EDGAR Release 8.6

On July 28, 2003, the SEC intends to implement EDGAR Release 8.6. The primary purpose of the release is to improve the functionality of the SEC's on-line forms website that is currently used for preparing and submitting Section 16 Forms 3, 4 and 5. Some of the changes that will be made to the EDGAR on-line forms website system are:

  • the addition of an entry page to list holdings of securities separately from securities transactions reported on Forms 4 and 5;
  • facilitating the reporting of gift, phantom stock plan and similar transactions. This will be accomplished by changing some fields from mandatory to optional or by requiring the inclusion of a footnote to explain why a field was left blank;
  • new XML schema and style sheet changes to support the processing and display of holdings, gifts and phantom stock data;
  • same day acceptance and dissemination of Form 3, 4 and 5 filings received on business days on or before 10:00 p.m.; and
  • the automatic entry of the filer's address by the system based on the filer's CIK number and the ability to change the address for the filing.

You can now download the reduced content specifications reflecting the system modifications and review the frequently asked questions (FAQs) regarding electronic filing of Section 16 reports and the on-line forms website from the Information for EDGAR Filers page on this website (www.sec.gov).

In addition to the on-line forms website system changes, several other changes will be implemented in Release 8.6. The EDGAR filing and dissemination hours will be extended to begin at 6:00 a.m. as a six-month trial period to test whether this is useful to filers. Form 8-K Items 10, 11, 12 and 13 will be added to the EDGAR system, and form types BW-2 and BW-3 will be rescinded. In addition, the EDGAR system will begin same day dissemination of Securities Act of 1933, Rule 462(b) filings (MEF form types) that are accepted on business days on or before 10:00 p.m. Also, several new EDGAR submission types will be added for investment companies:

  • N-CSRS (for Form N-CSR, where form includes certified semi-annual shareholder report of registered management investment companies);
  • N-PX (for Form N-PX - Annual Report of Proxy Voting Record of Registered Management Investment Companies); and
  • N-Q (for use if and when the Commission adopts Form N-Q - Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company).

General questions regarding the Release should be directed to the Office of EDGAR and Information Analysis in the Division of Corporation Finance at (202) 942-2940. Questions regarding the new form types should be directed to the Division of Investment Management at (202) 942-0978. Technical questions regarding the changes to the system should be directed to the Office of Information Technology at (202) 942-8800.



Modified: 06/20/2003