EDGAR X-17A-5 XML Technical Specification (Version 3.0)

Implementation Date: March 13, 2017

The EDGAR X-17A-5 XML Technical Specification (Version 3.0) document describes the valid structure and content of the X-17A-5 Electronic Data Gathering, Analysis, and Retrieval (EDGAR) Extensible Markup Language (XML) submission types. This specification provides, to those filers that are interested, a basis for creating X-17A-5 XML submissions. The expectation is that software developers, working on behalf of filers, will be able to construct software that will generate an X-17A-5 XML submission that can be successfully processed by the EDGAR system.

The X-17A-5 submission file must conform to the EDGAR X-17A-5 Submission Taxonomy for the EDGAR system. This taxonomy comprises a collection of XML Schema Definition (.xsd) files that define the structures of EDGAR X-17A-5 submissions.  The Reg A 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 17.1 introduced the following change:

  • The schema file “eis_Form_17A_Filer.xsd” was updated with a new email validation for two fields “contactEmail” and “notificationEmail” in the Filer Information page. This change allows for “_” to be entered anywhere in the email address.