EDGAR Form TA XML Technical Specification (Version 1.4)

Implementation Date: September 30, 2019

The Form TA XML Technical Specification (Version 1.4) document describes the valid structure and content of the Form TA Electronic Data Gathering, Analysis, and Retrieval (EDGAR) Extensible Markup Language (XML) submission types. This specification provides a basis for creating Form TA submissions. The expectation is that software developers, working on behalf of filers, will be able to construct software that will generate a Form TA submission that can be successfully processed by the EDGAR system.

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 Website (https://www.onlineforms.edgarfiling.sec.gov).

EDGAR Release 19.3 will introduce the following change:

  • The following unused mode attributes were removed from the stylesheets below that had warnings and error messages in the webserver operating system:
    • TA-1_item2.xsl
      • mode="_corporationPartnershipData"
      • mode="_soleProprietorshipOtherData"
      • mode="_otherControlManagementDetails"
      • mode="_otherControlFinanceDetails"
    • TA-1_item3.xsl
      • mode="_felonyOrMisdemeanorDetails"
      • mode="_otherFelonyDetails"
      • mode="enjoinedInvestmentRelatedActivityDetails"
      • mode="_violationOfInvestmentRelatedRegulationDetails"
      • mode="_falseStatementOrOmissionDetails"
      • mode="_violationOfRegulationsDetails"
      • mode="_authorizationDeniedOrSuspendedDetails"
      • mode="_registrationDeniedOrSuspendedDetails"
      • mode="_fsrFalseStatementOrOmissionDetails"
      • mode="_fsrViolationOfInvestmentRelatedRegulationDetails"
      • mode="_fsrAuthorizationDeniedOrSuspendedDetails"
      • mode="_fsrFoundOrderAgainstApplicantDetails"
      • mode="_fsrRegistrationDeniedOrSuspendedDetails"
      • mode="_fsrRevokedSuspendedLicenseDetails"
      • mode="_sraFalseStatementOrOmissionDetails"
      • mode="_sraViolationOfRulesDetails"
      • mode="_sraAuthorizationDeniedOrSuspendedDetails"
      • mode="_sraRevokedSuspendedLicenseDetails"
      • mode="_foreignAgencyDetails"
      • mode="_subjectOfProceedingsDetails"
      • mode="_revokedBondDetails"
      • mode="_unsatisfiedJudgementOrLiensDetails"