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Technical Guidance Regarding the EDGAR Submission of Form SH

On October 15, 2008, the SEC issued an Interim Final Temporary Rule, Exchange Act Release No. 34-58785 extending the reporting requirements for institutional investment managers concerning information on daily short sales and short positions of certain publicly traded securities. This short sales and short position information will be submitted electronically via the EDGAR system.

To assist filers with filing the short sales and short position information, available for download below, you will find Special Instructions for the filing of Temporary Form SH on EDGAR, the EDGAR Submission Type SH-ER Information Table XML Technical Specification (details the valid structure and content of the Submission Type SH-ER XML Information Table) and a fillable PDF Submission Type SH-ER Information Table form (can be used by those filers that are not familiar with XML to create an XML version of completed form). NOTE: Information Tables created using the fillable PDF form must be saved as XML prior to submission.

Please note that filers will not be required to use the new XML specifications for reports prior to their November 7, 2008 submission, but may elect to use XML for the October 31st report.

EDGAR will be upgraded to Release 9.13.d.1 to support this functionality on October 27, 2008. The EDGARLink software was updated to modify validation to get rid of error messages associated with using the SH-ER document type with *.xml attachments.

See also: EDGAR Submission Type SH-ER Information Technical Specification, EDGAR Submission Type SH-ER Information Fillable PDF Form.



Modified: 05/28/2009