EDGAR CF Portal XML Technical Specification (Version 1.1)

Implementation Date: May 16, 2016

The EDGAR CF Portal XML Technical Specification (Version 1.1) document describes the valid structure and content of the CF Portal Electronic Data Gathering, Analysis, and Retrieval (EDGAR) Extensible Markup Language (XML) submission types. This specification provides, to those filers that are interested, the basis for creating CF Portal XML submissions. The expectation is that software developers, working on behalf of filers, will be able to construct software that will generate a CF Portal XML submission that can be successfully processed by the EDGAR system.

The CF Portal submission file must conform to the EDGAR CF Portal Submission Taxonomy. This taxonomy is comprised of a collection of XML Schema Definition (.xsd) files that define the structures of EDGAR CF Portal submissions. The CF Portal XML submissions can be transmitted to the SEC via the EDGAR FilerWeb (https://www.edgarfiling.sec.gov/) or the “Transmit XML Submission” option from the EDGAR OnlineForms/XML Website (https://www.onlineforms.edgarfiling.sec.gov).

The following changes have been made to this document to align it with the system implementation released in January 2016:

  • In section 5.16 REGULATORY_RESPONDING_TO_TYPE - the value 5-DC(5) has been changed to 5-D(5).
  • In section 3.4 Mapping of CF Portal Submission Schemas to Submission Types - the elements "escrowArrangements", "investorFundsContacts", and "compensationDesc" have been changed from mandatory to optional.