DRAFT Form N-SAR XML Technical Specification (Version 1)
Implementation Date: No sooner than Fourth Quarter 2012
Update (06/11/2012): Deployment of new online Form N-SAR application has been postponed until no sooner than fourth quarter of this year. The specific deployment date will be communicated in the near future.
This DRAFT Form N-SAR XML Technical Specification, 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 technical specification, the SEC retains the right to change any part of the technical specification before the new system release is made final. In addition, the final Form N-SAR XML Technical Specification is subject to Commission approval and may be revised before approval or not approved at all. Similarly, the posting of the DRAFT Form N-SAR XML Technical Specification (Version 1) does not indicate Commission approval of any pending proposed changes relating to the potential changes reflected in the draft technical specification. The changes outlined in this draft technical specification, if approved, are scheduled to take effect on April 09, 2012. The final version of the technical specification will be made available if approved by the Commission on or about April 09, 2012, on the SEC's Public Website.
On April 9, 2012, EDGAR Release 12.0.1 will be deployed to convert the DOS based Form N-SAR application to an online application. The DOS based application to create Form N-SAR documents will be retired as of 5:30, April 06, 2012, and EDGAR will no longer accept filings created by that application.
Beginning Monday, April 9, 2012, Form N-SAR may only be filed using the online version of the form available on the EDGAR Filing Website or constructed by filers according to the new EDGAR N-SAR XML Technical Specification. Submission types NSAR-A, NSAR-A/A, NSAR-AT, NSAR-AT/A, NSAR-B, NSAR-BT, NSAR-BT/A, NSAR-U, and NSAR-U/A can be accessed by selecting the 'File Form N-SAR' link on the EDGAR Filing Website. Filers submitting submission type NSAR-U should continue to prepare the text document with the applicable answers and attach it to the NSAR-U submission type accessible from the 'File Form N-SAR' link on the EDGAR Filing Website.
Instructions to file Form N-SAR will be included in two new sections of Chapter 9 (Preparing and Transmitting Online Submissions) of the EDGAR Filer Manual, Volume II: EDGAR Filing, Section 9.2.5 (File Form N-SAR) and Section 9.2.6 (Completing a Form N-SAR Submission). As of April 09, 2012, the EDGAR Filer Manual, Volume III: N-SAR Supplement will be retired.
The following Draft EDGAR Form N-SAR XML Technical Specification documents detail the valid structure and content of the Form N-SAR submission types (NSAR-A, NSAR-A/A, NSAR-AT, NSAR-AT/A, NSAR-B, NSAR-BT, NSAR-BT/A, NSAR-U, and NSAR-U/A).