Draft EDGAR Filer Manual (Volume I) General Information (Version 25)
Implementation Date: December 2016
This draft Filer Manual, 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 manual, the SEC retains the right to change any part of the manual before the new system release is made final. In addition, the final EDGAR Filer Manual (Volume I) (Version 25) is subject to Commission approval and may be revised before approval or not approved at all. Similarly, the posting of the draft manual does not indicate Commission approval of any pending proposed changes relating to the potential changes reflected in the draft manual. The changes outlined in this draft manual, if approved, are scheduled to take effect on December 12, 2016 for non-rule based changes or on the rule effective date for changes related to SEC rules. See SEC Final Rules posted on the SEC’s Public Website for information on the rule effective date. The final version of the manual will be made available, if approved by the Commission, on or about December 12, 2016, on the SEC’s Public Website.
Changes to the Draft EDGAR Filer Manual (Volume I) General Information (Version 25) are being made to update the filer manual to reflect changes scheduled to be implemented on December 12, 2016.
On December 12, 2016, EDGAR Release 16.4 will introduce the following changes:
- Filers will be able to submit the Municipal Advisor submission form types MA, MA-A, MA/A, MA-I, MA-I/A, and MA-W in filer-constructed XML format from the EDGAR Filing Website. For more information, see the “EDGAR Form MA XML Technical Specification” document available on the SEC's Public Website (https://www.sec.gov/info/edgar/tech-specs).
- Filers will be able to provide up to 200 owners instead of 50 owners for Schedules A-1, A-2, B-1, and B-2 within MA, MA-A, and MA/A submissions (note: Schedules A-1, A-2, B-1, and B-2 are amended via Schedule C for MA-A and MA/A submissions).
- EDGAR will be upgraded to allow an entity with any Standard Industrial Classification (SIC) code value or no value (NULL) to request the creation of ABS Issuing Entities.
- EDGAR will be updated to allow duplicate submissions for ABS-EE.
- EDGARLink Online will be updated for ABS-EE and ABS-EE/A submissions such that non-existent CIKs will be flagged as errors during header data entry instead of after the submission has been sent and processed by EDGAR.
- The ABS-EE Asset Data schema will be updated to introduce the following Asset Class Item with date format MM/YYYY:
- RMBS ABS Asset Class: Item 1(c)(13)(vi), Most Senior Lien Origination Date
In addition, the ABS-EE Asset Data schema will be updated to change the following Asset Class Item from an integer value to a percentage value:
- CMBS ABS Asset Class: Item 2(c)(28)(iv), ARM Margin Number
For more information, see the updated "EDGAR ABS XML Technical Specification" document available on the SEC's Public Website (https://www.sec.gov/info/edgar/tech-specs).
- EDGAR will transform word expressions for numbers, dates, and word or symbol expressions for QNames and nil expressions into their respective XML representations in Inline XBRL submissions.
Filers will be able to provide typed dimensions in XBRL submissions.
In addition, the following HTML tags will be usable in traditional XBRL documents: <SPAN>, <TBODY>, <TFOOT>, and <THEAD>.
- All ASCII character validations will be removed for broker-dealer entity name fields on submission form types 17HACON, 17HACON/A, 17HQCON, and 17HQCON/A. Broker-dealers will also be able to submit the aforementioned filings, irrespective of the ASCII characters in the broker-dealer entity name.
- Filers will be able to shift the order of the uploaded documents, and simultaneously select/deselect all uploaded documents on the “Attach Documents List” screen for the Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, and 1-K/A.
On October 31, 2016, EDGAR Release 16.3.3 introduced the following changes:
- The ABS-EE CMBS Asset Class Item 2(e)(17), “Payment Status Loan Code” associated types were updated to include the value “0” for loan payment status of “Current”. For more information, see section 4.3.20 of the updated “EDGAR ABS XML Technical Specification” document available on the SEC’s Public Website (https://www.sec.gov/info/edgar/tech-specs).
- The maximum allowable submission size for form types ABS-EE and ABS-EE/A was increased to 600 MB.
- EDGAR was updated to remove the timeliness rule check, and to no longer verify if the submission form types NT 10-K, NTN 10K, NT 10-Q, NTN 10Q, NT 15D2, NTN15D2, NT 10-D, NTN 10D, NT 20-F, and NTN 20F were submitted before the filing deadline.