Draft EDGARLink Online XML Technical Specification (Version 20)

Implementation Date: July 2017

This draft EDGARLink Online 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 EDGARLink Online 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 technical specification 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 July 17, 2017. The final version of the technical specification will be made available if approved by the Commission on or about July 17, 2017, on the SEC's Public Website.

The EDGARLink Online Submissions should conform to the EDGARLink Online XML Technical Specification, namely, the XML schemas. Refer to XML schemas for detailed information on the common XML constructs of the EDGAR Filing submissions. For specific information about the data content of the ELO submission types, refer to the EDGAR Filer Manual Volume II available on the SEC's Public Website (https://www.sec.gov/info/edgar/edmanuals.htm).

EDGAR Release 17.2 will introduce the following change:

  • Section 3.4.18 (Mapping of Single Filer Subject Submission Schemas to Submission Types) was modified for Form Types ABS-15G and ABS-15G/A. The element “securitizerHas025FileNumber” is now conditionally mandatory based on the value provided for the element “securitizerHasCik”. The value for this element “securitizerHas025FileNumber” needs to be provided only when the filer provides a value ‘yes’ for the element “securitizerHasCik”.
  • Sections 3.4.4.1, 3.4.4.2 (Mapping of ELO CoReg Submission Schemas to Submission Types, Sections 3.4.5.1, 3.4.5.2, 3.4.5.3, 3.4.5.4 (Mapping of ELO CoReg Fee Submission Schemas to Submission Types) was modified for the following form Types:

    CoRegFee Schema Submission Form Types
    S-1
    S-1/A
    S-3
    S-3/A
    S-4
    S-4/A
    S-8
    S-11
    S-11/A
    F-1
    F-1/A
    F-3
    F-3/A
    F-4
    F-4/A

    CoReg Schema Submission Form Types
    10-12B
    10-12B/A
    10-12G
    10-12G/A
    8-K
    8-K/A
    8-K12B
    8-K12B/A
    8-K12G3
    8-K12G3/A
    8-K15D5
    8-K15D5/A
    10-Q
    10-Q/A
    10-QT
    10-QT/A
    10-K
    10-K/A
    10-KT
    10-KT/A
    20-F
    20-F/A
    20FR12B
    20FR12B/A
    20FR12G
    20FR12G/A
    40-F
    40-F/A
    40FR12B
    40FR12B/A
    40FR12G
    40FR12G/A

    Two new optional elements “emergingGrowthCompanyFlag” and “exTransitionPeriodFlag” have been added to the CoRegFee schema and the CoReg schema. These elements are applicable only to the above submissions.