DRAFT EDGAR Form 13F XML Technical Specification (Version 1)

Implementation Date: April 29, 2013

Update (April 24, 2013): EDGAR Release 13.1 implementation date has been postponed to be no sooner than Monday, May 20, 2013.

This DRAFT EDGAR Form 13F XML Technical Specification (Version 1), 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 specification, the SEC retains the right to change any part of the specification before the new system release is made final. In addition, the final Form 13F 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 13F XML Technical Specification (Version 1) does not indicate Commission approval of any pending proposed changes relating to the potential changes reflected in the draft specification. The changes outlined in this draft specification, if approved, are scheduled to take effect on April 29, 2013. The final version of the specification will be made available if approved by the Commission on or about April 29, 2013 on the SEC's Public Website.

EDGAR system will be upgraded to Release 13.1 on April 29, 2013 and will convert Form 13F to an online form. Form 13F will no longer be available on the EDGARLink Online application. Form 13F may only be filed using the new online version of the form available on the EDGAR Filing Website or constructed by filers according to the new "EDGAR Form 13F XML Technical Specification" document.

The Form 13F XML Technical Specification (Version 1) provides, to those filers that are interested, a basis for creating 13F-HR, 13-HR/A, 13F-NT, and 13-NT/A submissions without the use of the online Application. The expectation is that software developers, working on behalf of filers, will be able to construct software that will generate a Form 13F submission that can be successfully processed by the EDGAR system.

Note to filers using Online Application to file Form 13F: For guidance on how to prepare the Information Table XML document to attach to 13F-HR and 13F-HR/A online submissions, please refer to section "3.4.1.2 Data Specification for Information Table" of this document. The Information Table must conform to "eis_13FDocument.xsd" schema file included in this Technical Specification package. A sample Information Table XML document titled "SampleInfoTable.xml" is also provided in this package.

Update (04/29/2013): DRAFT EDGAR Form 13F XML Technical Specification has been updated to make the following corrections:

• The data type for "otherManager" element in the information table was changed from Integer to String of size 100
• "sshPrnamtType" under "shrsOrPrnAmt" element was changed from an XML attribute to XML element.
• Corrections were made to section "3.4.1.1 Mapping of 13F Submission Schema to Submission Type" and "3.4.1.2 Data Specification for Information Table" to match the schema files.
• Corrections were made to "Appendix B - Mapping of Form 13F XML Elements to Printed Form".
• A new guidelines section "5.2 Formatting of Supporting Document XML Files" was added for Form 13F online filers to provide details on preparation of the information table XML files.

The following DRAFT EDGAR Form 13F XML Technical Specification documents detail the valid structure and content of the Form 13F submission types (13F-HR, 13-HR/A, 13F-NT, and 13-NT/A).

• Download the DRAFT EDGAR Form 13F XML Technical Specification (Version 1) (compressed folder)
   
 

http://www.sec.gov/info/edgar/specifications/form13fxml.1_d.htm