EDGAR Form CFPORTAL XML Technical Specification (Version 1.2)

Implementation Date: July 17, 2016

The EDGAR Form CFPORTAL XML Technical Specification (Version 1.2) document describes the valid structure and content of the Form CFPORTAL 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 Form CFPORTAL XML submissions. The expectation is that software developers, working on behalf of filers, will be able to construct software that will generate a Form CFPORTAL XML submission that can be successfully processed by the EDGAR system.

The Form CFPORTAL submission file must conform to the EDGAR Form CFPORTAL Submission Taxonomy. This taxonomy is comprised of a collection of XML Schema Definition (.xsd) files that define the structures of EDGAR Form CFPORTAL submissions. The Form CFPORTAL 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).

EDGAR Release 17.2 introduced the following change:

  • Changed schemas (eis_Common_DRP.xsd and eis_Crowd_Funding_DRP.xsd) to correct typo: Penny Sock changed to Penny Stock.
  • In Section 5.10 PRINCIPAL_PRODUCT_TYPE, the element “Penny Sock(s)” was changed to “Penny Stock(s)” as identified in the DCS.