EDGAR Form N-PORT XML Technical Specification (Version 1.3)

Implementation Date: October 1, 2018

This draft EDGAR Form N-PORT 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 Form N-PORT 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 October 1, 2018. The final version of the technical specification will be made available if approved by the Commission on or about October 1, 2018, on the SEC's Public Website.

The Form N-PORT submission file must conform to the EDGAR Form D Submission Taxonomy for the EDGAR system. This taxonomy comprises a collection of XML Schema Definition (.xsd) files that defines the structure of EDGAR Form N-PORT submissions.  The Form N-PORT XML submissions can be transmitted to the SEC via the ‘Transmit’ link on the EDGAR FilerWeb (https://www.edgarfiling.sec.gov/) or the ‘Transmit XML Submission’ link on the EDGAR OnlineForms/XML Website (https://www.onlineforms.edgarfiling.sec.gov).

EDGAR Release 18.3 will introduce the following changes:

  • Section 4.19, updated ITEM_CATEGORY_TYPE list. Added “A.4”, “ B.4.b”, “B.7.c.i”, “B.8.a.iii’, “B.8.a.iv”, “C.3”, “C.6”, “C.8”, and “C.11.b.i”
  • Sections 3.4.1, 3.4.2, 3.4.3, 3.4.5, 3.4.6, 3.4.7, 3.4.10, 3.4.11, 3.4.12, 3.4.14, and 3.4.15, added a repeatable element “counterparties”
  • Section 3.4, added “dbtSecRefInstruments”, “dbtSecRefInstrument”, and updated the elements “name”, “title”, “curCd”, and “identifiers” to one level down
  • Section 4.21, modified the text from “US” to “USD”
  • Sections 3.4 and 3.4.7, modified the other identifiers attribute from “desc” to “value”
  • Section 3.3, updated the c#9, c#10 and c#11 added the options “otherRecDesc”, “otherPmntDesc”, and “otherRefInst”
  • Section 3.4, updated the conditions for valUSD, pctVal and fixedOrFloating
  • Section 3.4, added choice elements “otherRecDesc”, “otherPmntDesc”, and attribute “fixedOrFloating”
  • Sections 3.4.5 and 3.4.14, added new element “exercisePriceCurCd”
  • Sections 3.4.7, 3.4.9, 3.4.10, 3.4.11, 3.4.12, 3.4.14, and 3.4.15, added a note
  • Section 3.4.12, removed the element “unrealizedAppr”
  • Section 3.4, updated Max Length of Data Type “Decimal” and “attr Decimal” to 24
  • Section 3.2, updated the verbiage related to the “Decimal” to include 24 total digits
  • Section 3.4, updated “seriesid” element from “optional” to conditionally mandatory
  • Section 3.4, updated the “invstOrSec” repeatability from 1000 to 500,000
  • Section 3.3, added values “m#64”, “m#65”, “m#66”
  • Section 3.4, all the elements and attributes begin with lower case letters to be consistent with the schema
  • Section 7.2.1, updated instructions for allowed document names
  • Section 4.19, added options for part D
  • In the Schema, added the ampersand (“&”) as an allowed character for ENTITY_TYPE, NON_ENTITY_TYPE, CUSIP_TYPE, and ISIN_TYPE
  • Section 3.4, added a Note related to non-dissemination of Part D