# 902-11 : EDGAR Filer Manual v39 9.2.15 page 9-198

Created by: SEC Office of Structured Disclosure

## File Form SDR.

This section describes the general process for preparing and submitting Form SDR (Application or Amendment to Application for Registration or Withdrawal from Registration as Security-Based Swap Data Repository) to EDGAR pursuant to Section 13(n) of the Securities Exchange Act of 1934 and Rules 13n-1 and 13n-3 thereunder.

Form SDR has the following variants (submission form types):

- SDR: Application for Registration
- SDR/A: Interim Amendment
- SDR-A: Annual Amendment
- SDR-W: Application for Withdrawal from Registration

REMARK: This continues ../../603-filing-syntax/603-02-not-both-ex100-and-ex101

## Variations

Number | Name | Description | References | Data Inputs | Result Outputs
--- | --- | --- | --- | --- | ---
- _002gd | The minimal valid SDR filing, GOOD. | An SDR devoid of content with one K SDR and no L SDR (Exhibit L marked as "not applicable" in Submission Header). |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
Instance 002gd/k60302002gd-20151231.xml ReadMeFirst Linkbase 002gd/k60302002gd-20151231_lab.xml Linkbase 002gd/k60302002gd-20151231_pre.xml Schema 002gd/k60302002gd-20151231.xsd |
- _003gd | Minimal SDR filing with two L exhibits, GOOD. | An SDR devoid of content with one K SDR and two L SDR exhibits. |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
Instance 003gd/k60302003gd-20151231.xml ReadMeFirst Linkbase 003gd/k60302003gd-20151231_lab.xml Linkbase 003gd/k60302003gd-20151231_pre.xml Schema 003gd/k60302003gd-20151231.xsd Instance 003gd/l60302003gd-20151231.xml ReadMeFirst Linkbase 003gd/l60302003gd-20151231_lab.xml Linkbase 003gd/l60302003gd-20151231_pre.xml Schema 003gd/l60302003gd-20151231.xsd Instance 003gd/m60302003gd-20151231.xml ReadMeFirst Linkbase 003gd/m60302003gd-20151231_lab.xml Linkbase 003gd/m60302003gd-20151231_pre.xml Schema 003gd/m60302003gd-20151231.xsd |
- _004gd | The minimal valid SDR/A filing, GOOD. | An SDR/A with no inline with one K SDR and no L SDR (Exhibit L marked as "not applicable" in Submission Header). |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
Instance 004gd/k60302004gd-20151231.xml ReadMeFirst Linkbase 004gd/k60302004gd-20151231_lab.xml Linkbase 004gd/k60302004gd-20151231_pre.xml Schema 004gd/k60302004gd-20151231.xsd |
- _005gd | The minimal valid SDR-A filing, GOOD. | An SDR-A with no inline with one K SDR and no L SDR (Exhibit L marked as "not applicable" in Submission Header). |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
Instance 005gd/k60302005gd-20151231.xml ReadMeFirst Linkbase 005gd/k60302005gd-20151231_lab.xml Linkbase 005gd/k60302005gd-20151231_pre.xml Schema 005gd/k60302005gd-20151231.xsd |
- _006gd | The minimal valid SDR-W filing, GOOD. | An SDR-W devoid of content and no inline with one K SDR and no L SDR (Exhibit L marked as "not applicable" in Submission Header). |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
Instance 006gd/k60302006gd-20151231.xml ReadMeFirst Linkbase 006gd/k60302006gd-20151231_lab.xml Linkbase 006gd/k60302006gd-20151231_pre.xml Schema 006gd/k60302006gd-20151231.xsd |
- _007ng | An SDR-A with an EX-101.INS and an SDR.K.INS, NOGOOD. | An SDR-A with an EX-101.INS not allowed. |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
- Instance 007ng/k60302007ng-20151231.xml ReadMeFirst Instance 007ng/k60302007ng-20141231.xml ReadMeFirst Linkbase 007ng/k60302007ng-20151231_lab.xml Linkbase 007ng/k60302007ng-20151231_pre.xml Schema 007ng/k60302007ng-20151231.xsd |
  Assertion
  ID: err, 60308, Sdr-Has-Multiple-K-Reports
  FRD: | cp
  Count satisfied | 0
  Count not satisfied | 1
- _008ng | An SDR-A whose K SDR.INS has the wrong doctype, NOGOOD. | K SDR.INS has doctype=8-K not allowed. |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
- Instance 008ng/k60302008ng-20151231.xml ReadMeFirst Linkbase 008ng/k60302008ng-20151231_lab.xml Linkbase 008ng/k60302008ng-20151231_pre.xml Schema 008ng/k60302008ng-20151231.xsd |
  Assertion
  ID: err, 60520, Submission-Document-Type
  FRD: | cp
  Count satisfied | 0
  Count not satisfied | 1
- _009ng | An SDR-A whose two L SDR.INS both have the wrong doctype, NOGOOD. | Two L SDR.INS have doctype=8-K, both should be reported. |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
- Instance 009ng/k60302009ng-20151231.xml ReadMeFirst Instance 009ng/l60302009ng-20151231.xml ReadMeFirst Instance 009ng/m60302009ng-20151231.xml ReadMeFirst Linkbase 009ng/k60302009ng-20151231_lab.xml Linkbase 009ng/k60302009ng-20151231_pre.xml Linkbase 009ng/l60302009ng-20151231_lab.xml Linkbase 009ng/l60302009ng-20151231_pre.xml Linkbase 009ng/m60302009ng-20151231_lab.xml Linkbase 009ng/m60302009ng-20151231_pre.xml Schema 009ng/k60302009ng-20151231.xsd Schema 009ng/l60302009ng-20151231.xsd Schema 009ng/m60302009ng-20151231.xsd |
  Assertion
  ID: err, 60520, Submission-Document-Type
  FRD: | cp
  Count satisfied | 0
  Count not satisfied | 1
- _011ng | The K SDR exhibit does not use us-gaap, NOGOOD. | k instance does not have a us-gaap namespace in its DTS, NOGOOD. |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
- Instance 011ng/k60302011ng-20151231.xml ReadMeFirst Linkbase 011ng/k60302011ng-20151231_lab.xml Linkbase 011ng/k60302011ng-20151231_pre.xml Schema 011ng/k60302011ng-20151231.xsd |
  Assertion
  ID: err, 60302, Sdr-Missing-Standard-Schema
  FRD: | cp
  Count satisfied | 0
  Count not satisfied | 1
- _012ng | The second L SDR exhibit does not use us-gaap, NOGOOD.. | m instance does not have a us-gaap namespace in its DTS, NOGOOD. |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
- Instance 012ng/k60302012ng-20151231.xml ReadMeFirst Linkbase 012ng/k60302012ng-20151231_lab.xml Linkbase 012ng/k60302012ng-20151231_pre.xml Schema 012ng/k60302012ng-20151231.xsd Instance 012ng/l60302012ng-20151231.xml ReadMeFirst Linkbase 012ng/l60302012ng-20151231_lab.xml Linkbase 012ng/l60302012ng-20151231_pre.xml Schema 012ng/l60302012ng-20151231.xsd Instance 012ng/m60302012ng-20151231.xml ReadMeFirst Linkbase 012ng/m60302012ng-20151231_lab.xml Linkbase 012ng/m60302012ng-20151231_pre.xml Schema 012ng/m60302012ng-20151231.xsd |
  Assertion
  ID: err, 60302, Sdr-Missing-Standard-Schema
  FRD: | cp
  Count satisfied | 0
  Count not satisfied | 1
- _013ng | SDR with K SDR that has no schema, NOGOOD. | NOGOOD. |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
- Instance 013ng/k60302013ng-20151231.xml ReadMeFirst Linkbase 013ng/k60302013ng-20151231_lab.xml Linkbase 013ng/k60302013ng-20151231_pre.xml |
  Assertion
  ID: err, 60302, Sdr-Missing-Files
  FRD: | cp
  Count satisfied | 0
  Count not satisfied | 1
- _014ng | SDR with K SDR that has no label linkbase attached, NOGOOD. | To make the test yield just two errors, the linkbase is embedded in the schema, NOGOOD. |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
- Instance 014ng/k60302014ng-20151231.xml ReadMeFirst Linkbase 014ng/k60302014ng-20151231_pre.xml Schema 014ng/k6030214ng-20151231.xsd |
  Assertion
  ID: err, 60302, Sdr-Missing-Files
  FRD: | cp
  Count satisfied | 0
  Count not satisfied | 1
- Assertion
  ID: err, 60708, No-Embedded-Linkbases
  FRD: | cp
  Count satisfied | 0
  Count not satisfied | 1
- _015ng | SDR with K SDR that has no presentation linkbase, NOGOOD. | To make this test yield just two errors, the linkbase is embedded in the schema, so ignore code EFM.6.07.08. NOGOOD. |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
- Instance 015ng/k60302015ng-20151231.xml ReadMeFirst Linkbase 015ng/k60302015ng-20151231_lab.xml Schema 015ng/k60302015ng-20151231.xsd |
  Assertion
  ID: err, 60302, Sdr-Missing-Files
  FRD: | cp
  Count satisfied | 0
  Count not satisfied | 1
- Assertion
  ID: err, 60708, No-Embedded-Linkbases
  FRD: | cp
  Count satisfied | 0
  Count not satisfied | 1
- _016ng | SDR with L SDR that has no schema, NOGOOD. | SDR with L SDR that has no schema, which happens to be otherwise EFM valid, but here, NOGOOD. |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
- Instance 016ng/k60302016ng-20151231.xml ReadMeFirst Linkbase 016ng/k60302016ng-20151231_lab.xml Linkbase 016ng/k60302016ng-20151231_pre.xml Schema 016ng/k60302016ng-20151231.xsd Instance 016ng/l60302016ng-20151231.xml ReadMeFirst Linkbase 016ng/l60302016ng-20151231_lab.xml Linkbase 016ng/l60302016ng-20151231_pre.xml Instance 016ng/m60302016ng-20151231.xml ReadMeFirst Linkbase 016ng/m60302016ng-20151231_lab.xml Linkbase 016ng/m60302016ng-20151231_pre.xml |
  Assertion
  ID: err, 60302, Sdr-Missing-Files
  FRD: | cp
  Count satisfied | 0
  Count not satisfied | 1
- _017ng | SDR with L SDR that has no label linkbase attached, NOGOOD. | To make the test yield just two errors, the linkbase is embedded in the schema, so ignore EFM.6.07.08, NOGOOD. |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
- Instance 017ng/k60302017ng-20151231.xml ReadMeFirst Linkbase 017ng/k60302017ng-20151231_lab.xml Linkbase 017ng/k60302017ng-20151231_pre.xml Schema 017ng/k60302017ng-20151231.xsd Instance 017ng/l60302017ng-20151231.xml ReadMeFirst Linkbase 017ng/l60302017ng-20151231_pre.xml Schema 017ng/l6030217ng-20151231.xsd Instance 017ng/m60302017ng-20151231.xml ReadMeFirst Linkbase 017ng/m60302017ng-20151231_pre.xml Schema 017ng/m60302017ng-20151231.xsd |
  Assertion
  ID: err, 60302, Sdr-Missing-Files
  FRD: | cp
  Count satisfied | 0
  Count not satisfied | 1
- Assertion
  ID: err, 60708, No-Embedded-Linkbases
  FRD: | cp
  Count satisfied | 0
  Count not satisfied | 1
- _018ng | SDR with L SDR that has no presentation linkbase, NOGOOD. | To make this test yield just two errors, the linkbase is embedded in the schema, so ignore code EFM.6.07.08, NOGOOD. |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
- Instance 018ng/k60302018ng-20151231.xml ReadMeFirst Linkbase 003gd/k60302018ng-20151231_lab.xml Linkbase 003gd/k60302018ng-20151231_pre.xml Schema 003gd/k60302018ng-20151231.xsd Instance 018ng/l60302018ng-20151231.xml ReadMeFirst Linkbase 018ng/l60302018ng-20151231_lab.xml Schema 018ng/l6030218ng-20151231.xsd Instance 018ng/m60302018ng-20151231.xml ReadMeFirst Linkbase 018ng/m60302018ng-20151231_lab.xml Schema 018ng/m60302018ng-20151231.xsd |
  Assertion
  ID: err, 60302, Sdr-Missing-Files
  FRD: | cp
  Count satisfied | 0
  Count not satisfied | 1
- Assertion
  ID: err, 60708, No-Embedded-Linkbases
  FRD: | cp
  Count satisfied | 0
  Count not satisfied | 1
- _019ng | SDR with an EX-99.K SDR.CAL that is empty, NOGOOD. | SDR with an EX-99.K SDR.CAL that is empty, NOGOOD. |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
- Instance 019ng/k60302019ng-20151231.xml ReadMeFirst Linkbase 019ng/k60302019ng-20151231_cal.xml Linkbase 019ng/k60302019ng-20151231_lab.xml Linkbase 019ng/k60302019ng-20151231_pre.xml Schema 019ng/k60302019ng-20151231.xsd |
  Assertion
  ID: err, 60303, No-Link-Element
  FRD: | cp
  Count satisfied | 0
  Count not satisfied | 1
- _020ng | Minimal SDR filing with an EX-99.L SDR.CAL that is empty, NOGOOD. | An SDR devoid of content with one K SDR and two L SDR exhibits. |  |
  Parameter
  Name | submissionType
  Type | xs:string
  Value | SDR
- Instance 020ng/k60302020ng-20151231.xml ReadMeFirst Linkbase 020ng/k60302020ng-20151231_lab.xml Linkbase 020ng/k60302020ng-20151231_pre.xml Schema 020ng/k60302020ng-20151231.xsd Instance 020ng/l60302020ng-20151231.xml ReadMeFirst Linkbase 020ng/l60302020ng-20151231_lab.xml Linkbase 020ng/l60302020ng-20151231_pre.xml Schema 020ng/l60302020ng-20151231.xsd Instance 020ng/m60302020ng-20151231.xml ReadMeFirst Linkbase 020ng/k60302020ng-20151231_cal.xml Linkbase 020ng/m60302020ng-20151231_lab.xml Linkbase 020ng/m60302020ng-20151231_pre.xml Schema 020ng/m60302020ng-20151231.xsd |
  Assertion
  ID: err, 60303, No-Link-Element
  FRD: | cp
  Count satisfied | 0
  Count not satisfied | 1