EDGAR Form N-PORT XML Technical Specification (Version 1.3)
Implementation Date: December 11, 2017
The EDGAR Form N-PORT XML Technical Specification (Version 2) document details the valid structure and content of the Form N-PORT 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 N-PORT XML submissions. The expectation is that software developers, working on behalf of filers, will be able to construct software that will generate a Form N-PORT XML submission that can be successfully processed by the EDGAR system.
The Form N-PORT submission file must conform to the EDGAR Form N-PORT 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 17.4 will introduce the following changes:
- Changed the datatype of element “delta” under parent element “debtSec” from “DECIMAL_TYPE_NA_36_12” to “DECIMAL_TYPE_NA_STRING_36_12” in schema “eis_nport_filer.xsd”. Now the element “delta” accepts text “NA” if value for the field is not applicable. Maximum numeric character 36 with 24 digits to the left of the period and 12 digits to the right of the period. Negative values are accepted
- Elements “shareNo”, “principalAmt”, “curCd” from parent element “OPTION_WARRANT_SWAPTION_HOLDING_GROUP” are now choice elements between “shareNo” and (“principalAmt” , “curCd”) in schema “eis_nport_filer.xsd”.This choice selection is mandatory if <optionSwaptionWarrantDeriv> is provided
- Changed the data type of the element “rptPdChange” under parent element “LIQUID_INVESTMENT_MINIMUM_TYPE” “DECIMAL_TYPE_NA_36_12” to “DECIMAL_NON_NEGATIVE_NA_TYPE_36_12” in schema eis_nport_filer.xsd. Maximum numeric character 36 with 24 digits to the left of the period and 12 digits to the right of the period. Negative values are not accepted. Text value “NA” is accepted if value for the field is not applicable
- The data types “DECIMAL_NON_NEGATIVE_NA_TYPE_36_12” , “DECIMAL_TYPE_NA_STRING_36_12” were added to eis_nport_common.xsd
- Element type “DATE_2500_TYPE” in schema “eis_nport_common.xsd” was updated so the minimum inclusive date is “1980-01-01” and maximum inclusive date is “2500-12-31”. The NPORT schema elements “maturityDt”, “expDate”, “expDt”, “settlementDt”, “terminationDt”, “repPdEnd” use “DATE_2500_TYPE”
- Element “title” under parent element “signature_type” was made mandatory in schema “eis_nport_common.xsd”
- Download the EDGAR Form N-PORT XML Technical Specification (Version 1.3) (compressed folder)