EDGAR Form 13F XML Technical Specification (Version 1.3)

Implementation Date: December 12, 2016

The Form 13F XML Technical Specification (Version 1.3) document describes the valid structure and content of the Form 13F Electronic Data Gathering, Analysis, and Retrieval (EDGAR) Extensible Markup Language (XML) submission types.  This specification provides a basis for creating Form 13F submissions.  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.

The Form 13F submission file must conform to the EDGAR Form 13F Submission Taxonomy for the EDGAR system. This taxonomy is comprised of a collection of XML Schema Definition (.xsd) files that defines the structures of EDGAR Form 13F submissions.  The Form 13F  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 16.4 introduced the following changes:

  • The schema file “eis_13FDocument.xsd” was updated as follows –
    • Modified “nameOfIssuer” field to allow only EDGAR standard characters. If the field contains invalid characters, the submission will get suspended.
    • Modified “cusip” to require nine characters. Invalid InfoTables will get suspended.