DRAFT EDGAR Form D XML Technical Specification (Version 6.3.0)
Implementation Date: September 28, 2009
This DRAFT EDGAR Form D XML Technical Specification (Version 6.3.0), 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 in their preparation of responses to potential changes the staff anticipates. Since this is a draft specification, the SEC retains the right to change any part of the specification before the new system release is made final. In addition, the final EDGAR Form D Technical Specification is subject to Commission approval and may be revised before approval or not approved at all. Similarly, the posting of the DRAFT EDGAR Form D Technical Specification (Version 6.3.0) does not indicate Commission approval of any pending proposed changes relating to the potential changes reflected in the draft specification. The changes outlined in this draft specification, if approved, are scheduled to take effect on September 28, 2009. The final version of the specification will be made available if approved by the Commission on or about September 28, 2009 on the SEC's Public Website.
EDGAR Release 9.17 introduces the following change to the DRAFT EDGAR Form D XML Technical Specification (Version 6.3.0):
- The “<previousAccessionNumber>” element is now mandatory when the value provided for the “<submissionType>” element is “D/A” and the value provided for the “<isAmendment>” element is “true”.
- The Submission Contact information is now validated to ensure it is provided and does not consist only of whitespace.
- All email address values are being validated to ensure they follow the correct standard for an internet email address and do not only consist of whitespace.
- A new element, “<edgarPreviousNameList>” has been created to capture up to three of the previous names currently on file within EDGAR. The value(s) for this element will be pulled from the EDGAR database if it exists. The filer should not provide any values for this element.
- The “<issuerPreviousNameList>” element has been modified to allow only three previous names. This section is to be used to indicate any previous names that EDGAR does not currently have on file. Duplicate entries will be removed.
- The “<middleName>” element of the “<NAME_TYPE>” type is now optional.
- The “<over100IssuerFlag>” element can only be provided when all 100 issuers have been listed in the submission.
- The “<over100PersonsFlag>” element can only be provided when all 100 related persons have been listed in the submission.
- The “<over100RecipientFlag>” element can only be provided when all 100 sales recipients have been listed in the submission.
- The “<issuerName>” element of the “<SIGNATURE_TYPE>” will be validated against the values EDGAR has in the database. If there are any inconsistencies, the submission will be suspended.
- The “<signatureName>” element will no longer accept values that consist only of whitespace.
- The “<nameOfSigner>” element will no longer accept values that consist only of whitespace.
- The “<signatureTitle>” element will no longer accept values that consist only of whitespace.
- The “<signatureDate>” element will be validated to ensure the value provided is not a future date.
- The validation routines for all of the “<STATE_COUNTRY_CODE>” types will no longer accept values that consist only of whitespace.
http://www.sec.gov/info/edgar/formdxmltechspec.6.3_d.htm
