Technical Specifications

On October 14, 2025, EDGAR Release 25.3 will introduce the following changes:

• Tables 3.4 and 3.5:
  • Address Street 1 and Street 2 Max Lengths values were stated or increased for the designated fields
  • Max Occur values were increased for the designated fields

On March 7, 2025, EDGAR Release 25.0.1.u3 will introduce the following changes:

The following was updated on various pages within section 2.1 Schema Table Column Definitions

• HTML escape characters used in the xml were changed from Hex values to Decimal values
  • Hex value § changed to Decimal value §

On August 29, 2025, EDGAR will introduce the following changes:

• Maximum occurrences of entries in Table 1 and corresponding sections in Table 2 will be changed from 1000 to 600.

On December 16, 2024, EDGAR Release 24.4 introduced the following changes:

• Update Table 3.4 to remove Item6.
• Update Table 3.4 to change element from Item7 to Item6.
• Update Table 3.4 to change element from Item8 to Item7.
• Update Table 3.4 to change element from Item9 to Item8.

On September 18, 2023, EDGAR Release 23.3 introduced the following changes:

• Section 4.3.25 will be updated to add Enumerated value 10 along with description “Forbearance” for element.

On June 16, 2025, EDGAR Release 25.2 introduced the following changes:

• The schema file eis_NCEN_Filer will be updated with the following changes:
  • Data type LEI_TYPE_RSS_NA is optional and allows filers to enter up to 20 alphanumeric characters or less because the instructions also allow filers to respond with "N/A" or a 10 digit RSSD ID. Starting November 17th, 2025, Filers will only be allowed to enter exactly 20 alphanumeric characters or N/A.
  • Removed the element “returnCopyFlag”
  • Schema eis_NCEN_Filer.xsd updated to include new elements of data type RSSD_ID_TYPE which is optional and allows filers to enter up to 10 numeric characters.
    • authorizedParticipantRssdId
    • depositorRssdId
    • smallCustodianRssdId
    • smallInvestmentAdviserRssdId
    • smallSubAdviserRssdId
    • smallTransferAgentRssdId
    • sponsorRssdId
    • smallInvestmentAdviserTerminatedRssdId
    • smallSubAdviserTerminatedRssdId
    • transferAgentRssdId
    • uitAdminRssdId
    • principalRssdId
    • brokerRssdId
    • brokerDealerRssdId
    • adminRssdId
    • shareholderServiceAgentRssdId
    • custodianRssdId
    • pricingServiceRssdId
    • subAdviserTerminatedRssdId
    • subAdviserRssdId
    • investAdviserTerminatedRssdId
    • investmentAdviserRssdId
    • collateralManagerRssdId
    • idemnityProviderRssdId
    • securitiesAgentRssdId
    • foreignSubsidiaryRssdId
    • liquidityRssdId
    • publicAccountantRssdId
    • principalUnderwriterRssdId
  • Schema eis_NCEN_Filer.xsd updated to include new elements of data type STRING_100_TYPE which is optional and allows filers to put in up to 100 alphanumeric characters.
    • uitAdminOther
    • adminOther
    • shareholderServiceAgentOther
    • pricingServiceOther
• Added Item C.22 Liquidity Classification Services to eis_NCEN_Filer.xsd with elements
  • liquidityClassifications is optional of type LIQUIDITY_CLASSIFICATION_SERVICES_LIST_TYPE
  • liquidityClassificationService is of type LIQUIDITY_CLASSIFICATION_SERVICES_TYPE
  • liquidityName is of type STRING_150_TYPE
  • liquidityLei of type LIQUIDITY_LEI_TYPE
  • liquidityRssdId of type RSSD_ID_TYPE
  • liquidityOther of type STRING_100_TYPE
  • otherDesc of type STRING_500_TYPE
  • A group element type CONDITIONAL_LIQUIDITY_CLASSIFICATION_STATECOUNTRY which is required
    • liquidityStateCountry with attribute liquidityState of type ISO_STATE_AND_OUTLYING_AREA_CODE_USA and attribute liquidityCountry of type ISO_COUNTRY_CODE
    • liquidityCountry of type ISO_FOREIGN_COUNTRY_CODE
  • isAffiliatedPerson of type YES_NO_TYPE
  • assetClassType of type ASSET_TYPE
  • otherAssetDesc of type STRING_500_TYPE which is conditionally optional of ASSET_TYPE value “Other”
  • isLiquidityHiredTerminated is optional of type YES_NO_TYPE

On September 18, 2023, EDGAR Release 23.3 introduced the following changes:

• Section 4.3.25 will be updated to add Enumerated value 10 along with description “Forbearance” for element.

On March 20, 2023, EDGAR Release 23.1 introduced the following changes:

• Table 3.5, Appendix C and D are updated to include element “aff10b5One” to the Submission Form Types 4, 4/A, 5 and 5/A.

On January 3, 2023, EDGAR Release 22.4.1 introduced the following changes:

• Table 3.4 has been updated to include new “crdNumber” and “secFileNumber” elements to the 13F Submission Schemas.
• Table 3.4 has been updated to increase size of the element “tableValueTotal” to 16 digits.
• The eis_13F_Filer.xsd schema file has been updated to add new elements “crdNumber” and “secFileNumber” to the Cover and Summary page sections.
• Table 3.4 and section 5.2 have been updated to add optional “FIGI” to the Information table.
• Table 3.4 has been updated to increase size of the element “value” to 16 digits.
• The eis_13FDocument.xsd schema file has been updated to add new element “FIGI”.
• The eis_13FDocument.xsd schema file has been updated to update size of the element “value” to 16 digits.
• The Appendix B section has been updated to add “crdNumber”, “secFileNumber” ,”denovoRequest” and “FIGI” to the XML Element Name table.
• The Appendix B section has been updated to change “value” from thousand to the nearest dollar.
• The eis_13F_Filer.xsd and table 3.4 have been updated to add “denovoRequest” for Submission form type 13F-CTR/A

On October 17, 2022, EDGAR Release 22.3.1 introduced the following changes:

• Increase the maximum number element sets allowed for "" and "" from 20 to 40.
• Increase the maximum number sets allowed for "" from 20 to 200.
• If the filer indicates that the securities were a gift, the “" and "" are optional elements that the filer may complete.

On June 21, 2022, EDGAR Release 22.2 introduced the following changes:

• Updated section 3.4 Mapping of X-17A-5 Submission Schemas to Submission Types, to reflect the latest changes.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On August 17, 2016, EDGAR Release 21.3 introduced the following changes:

• In section 3.4, the element "date" under "signature" has been renamed to "signatureDate" to match the element name in the schema eis_NMFP1_Filer.xsd. This is only a correction to the document and no changes were made to the schema file.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• ERROR REPORTING Section 6 has been updated with the following warning message as below:
  “Only $10 million of securities is permitted to be offered within a 12 month period under Rule 504.”
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in formDStateCodes.xsd.xmlfile.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.

On September 18, 2023, EDGAR Release 23.3 introduced the following changes:

• Section 4.3.25 will be updated to add Enumerated value 10 along with description “Forbearance” for element.

On January 3, 2023, EDGAR Release 22.4.1 introduced the following changes:

• Table 3.4 has been updated to include new “crdNumber” and “secFileNumber” elements to the 13F Submission Schemas.
• Table 3.4 has been updated to increase size of the element “tableValueTotal” to 16 digits.
• The eis_13F_Filer.xsd schema file has been updated to add new elements “crdNumber” and “secFileNumber” to the Cover and Summary page sections.
• Table 3.4 and section 5.2 have been updated to add optional “FIGI” to the Information table.
• Table 3.4 has been updated to increase size of the element “value” to 16 digits.
• The eis_13FDocument.xsd schema file has been updated to add new element “FIGI”.
• The eis_13FDocument.xsd schema file has been updated to update size of the element “value” to 16 digits.
• The Appendix B section has been updated to add “crdNumber”, “secFileNumber” ,”denovoRequest” and “FIGI” to the XML Element Name table.
• The Appendix B section has been updated to change “value” from thousand to the nearest dollar.
• The eis_13F_Filer.xsd and table 3.4 have been updated to add “denovoRequest” for Submission form type 13F-CTR/A

On October 17, 2022, EDGAR Release 22.3.1 introduced the following changes:

• Increase the maximum number element sets allowed for "" and "" from 20 to 40.
• Increase the maximum number sets allowed for "" from 20 to 200.
• If the filer indicates that the securities were a gift, the “" and "" are optional elements that the filer may complete.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On December 16, 2024, EDGAR Release 24.4 introduced the following changes:

• Update Table 3.4 to remove Item6.
• Update Table 3.4 to change element from Item7 to Item6.
• Update Table 3.4 to change element from Item8 to Item7.
• Update Table 3.4 to change element from Item9 to Item8.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• ERROR REPORTING Section 6 has been updated with the following warning message as below:
  “Only $10 million of securities is permitted to be offered within a 12 month period under Rule 504.”
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in formDStateCodes.xsd.xmlfile.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On June 16, 2025, EDGAR Release 25.2 introduced the following changes:

• The schema file eis_NCEN_Filer will be updated with the following changes:
  • Data type LEI_TYPE_RSS_NA is optional and allows filers to enter up to 20 alphanumeric characters or less because the instructions also allow filers to respond with "N/A" or a 10 digit RSSD ID. Starting November 17th, 2025, Filers will only be allowed to enter exactly 20 alphanumeric characters or N/A.
  • Removed the element “returnCopyFlag”
  • Schema eis_NCEN_Filer.xsd updated to include new elements of data type RSSD_ID_TYPE which is optional and allows filers to enter up to 10 numeric characters.
    • authorizedParticipantRssdId
    • depositorRssdId
    • smallCustodianRssdId
    • smallInvestmentAdviserRssdId
    • smallSubAdviserRssdId
    • smallTransferAgentRssdId
    • sponsorRssdId
    • smallInvestmentAdviserTerminatedRssdId
    • smallSubAdviserTerminatedRssdId
    • transferAgentRssdId
    • uitAdminRssdId
    • principalRssdId
    • brokerRssdId
    • brokerDealerRssdId
    • adminRssdId
    • shareholderServiceAgentRssdId
    • custodianRssdId
    • pricingServiceRssdId
    • subAdviserTerminatedRssdId
    • subAdviserRssdId
    • investAdviserTerminatedRssdId
    • investmentAdviserRssdId
    • collateralManagerRssdId
    • idemnityProviderRssdId
    • securitiesAgentRssdId
    • foreignSubsidiaryRssdId
    • liquidityRssdId
    • publicAccountantRssdId
    • principalUnderwriterRssdId
  • Schema eis_NCEN_Filer.xsd updated to include new elements of data type STRING_100_TYPE which is optional and allows filers to put in up to 100 alphanumeric characters.
    • uitAdminOther
    • adminOther
    • shareholderServiceAgentOther
    • pricingServiceOther
• Added Item C.22 Liquidity Classification Services to eis_NCEN_Filer.xsd with elements
  • liquidityClassifications is optional of type LIQUIDITY_CLASSIFICATION_SERVICES_LIST_TYPE
  • liquidityClassificationService is of type LIQUIDITY_CLASSIFICATION_SERVICES_TYPE
  • liquidityName is of type STRING_150_TYPE
  • liquidityLei of type LIQUIDITY_LEI_TYPE
  • liquidityRssdId of type RSSD_ID_TYPE
  • liquidityOther of type STRING_100_TYPE
  • otherDesc of type STRING_500_TYPE
  • A group element type CONDITIONAL_LIQUIDITY_CLASSIFICATION_STATECOUNTRY which is required
    • liquidityStateCountry with attribute liquidityState of type ISO_STATE_AND_OUTLYING_AREA_CODE_USA and attribute liquidityCountry of type ISO_COUNTRY_CODE
    • liquidityCountry of type ISO_FOREIGN_COUNTRY_CODE
  • isAffiliatedPerson of type YES_NO_TYPE
  • assetClassType of type ASSET_TYPE
  • otherAssetDesc of type STRING_500_TYPE which is conditionally optional of ASSET_TYPE value “Other”
  • isLiquidityHiredTerminated is optional of type YES_NO_TYPE

No previous version.

On September 18, 2023, EDGAR Release 23.3 introduced the following changes:

• Section 4.3.25 will be updated to add Enumerated value 10 along with description “Forbearance” for element.

On August 17, 2016, EDGAR Release 21.3 introduced the following changes:

• In section 3.4, the element "date" under "signature" has been renamed to "signatureDate" to match the element name in the schema eis_NMFP1_Filer.xsd. This is only a correction to the document and no changes were made to the schema file.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On February 5, 2024, EDGAR Release 24.0.2 introduced the following changes:

• The "Form N-MFP3 Technical Specifications" document will be updated to correct the maximum occurrences of "scheduleOfPortfolioSecuritiesInfo" in Part C to 99,999 instead of the current 9,999. Additionally, the Form N-MFP3 schema will be updated to correct the maximum occurrences of "dispositionOfPortfolioSecurities" in Part D to 1 instead of 9,999.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.

On August 29, 2025, EDGAR will introduce the following changes:

• Maximum occurrences of entries in Table 1 and corresponding sections in Table 2 will be changed from 1000 to 600.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On June 21, 2022, EDGAR Release 22.2 introduced the following changes:

• Updated section 3.4 Mapping of X-17A-5 Submission Schemas to Submission Types, to reflect the latest changes.

On March 20, 2023, EDGAR Release 23.1 introduced the following changes:

• Table 3.5, Appendix C and D are updated to include element “aff10b5One” to the Submission Form Types 4, 4/A, 5 and 5/A.

On September 20, 2021, EDGAR Release 21.3 introduced the following changes:

• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_Common.xsd file.
• Text for Country TAIWAN, PROVICE OF CHINA is changed to TAIWAN in eis_stateCodes.xsd file.
• Code F5 is changed to TAIWAN in APPENDIX A.STATE/COUNTRY CODES.

On October 14, 2025, EDGAR Release 25.3 will introduce the following changes:

• Tables 3.4 and 3.5:
  • Address Street 1 and Street 2 Max Lengths values were stated or increased for the designated fields
  • Max Occur values were increased for the designated fields
     

On March 7, 2025, EDGAR Release 25.0.1.u3 will introduce the following changes:

The following was updated on various pages within section 2.1 Schema Table Column Definitions

• HTML escape characters used in the xml were changed from Hex values to Decimal values
  • Hex value § changed to Decimal value §