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DRAFT EDGAR Ownership XML Technical Specification (Version 3)

Implementation Date: April 12, 2010

This DRAFT EDGAR Ownership XML Technical Specification (Version 3), 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 Ownership 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 EDGAR Ownership XML Technical Specification (Version 3) 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 April 12, 2010. The final version of the specification will be made available if approved by the Commission on or about April 12, 2010 on the SEC's Public Website.

EDGAR Release 10.1 introduces the following change to the DRAFT EDGAR Ownership XML Technical Specification (Version 3):

The State and Country Codes list has been modified to add and delete values listed below.

Additions:

DescriptionState Code
Aland IslandsY6
GuernseyY7
Isle of ManY8
JerseyY9
Saint BarthelemyZ0
Saint MartinZ1
SerbiaZ2
Timor-LesteZ3
Canada (Federal Level)Z4
MontenegroZ5

Deletions:

DescriptionState Code
East Timor2F
YugoslaviaY2

The following DRAFT EDGAR Ownership XML Technical Specification documents detail the valid structure and content of the six EDGAR Ownership submission types (Forms 3, 4, 5, 3/A, 4/A, and 5/A).

 

http://www.sec.gov/info/edgar/ownershipxmltechspec-v3_d.htm


Modified: 03/10/2010