Draft EDGAR Form TA XML Technical Specification (Version 1.2)

Implementation Date: September 2017

This draft EDGAR Form TA 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 EDGAR Form TA 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 September 11, 2017. The final version of the technical specification will be made available if approved by the Commission on or about September 11, 2017, on the SEC's Public Website.

The Form TA submission file must conform to the EDGAR Form TA Submission Taxonomy for the EDGAR system. This taxonomy comprises a collection of XML Schema Definition (.xsd) files that defines the structure of EDGAR Form TA submissions.  The Form TA 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 17.3 will introduce the following changes to the stylesheets for submission types TA-1 and TA-1/A:

  • Added the field “1(e). Is this filing an amendment to a previous filing?”
  • The field “1(e)(1). File Number” was changed to “1(e)(i). File Number:”
  • Added the field “1(e)(i). File Number:”

There were no updates to the schema file or the content of the document.