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Announcement

EDGAR Release 17.1 Software Upgrade

March 13, 2017

  • The Microsoft InfoPath templates used to file Transfer Agent forms TA-1, TA-1/A, TA-2, TA-2/A, and TA-W will be retired on March 10, 2017.

    Effective March 13, 2017, filers must use the new online version of the forms application available on the EDGAR Filing Website to file Transfer Agent forms. This web-based application will replace the corresponding Microsoft InfoPath templates that were previously used to file these forms. Filers can access Transfer Agent forms by selecting the ‘File Transfer Agent Forms’ link on the EDGAR Filing Website.

    Filers can continue to construct XML submissions as described in the XML Technical Specification documents for Transfer Agent forms, and submit them via the EDGAR Filing Website.

  • EDGAR will be updated to allow filers to submit duplicate filings for submission form type 10-D.
  • EDGAR will be upgraded to allow filers to provide up to four digits after the decimal point for the “Price per Security” field for submission form types DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, 1-K/A, 1-Z, and 1-Z/A.
  • EDGAR will be upgraded to include the following changes to submission form types ABS-EE and ABS-EE/A:
    • The restriction on future dates for ABS-EE and ABS-EE/A in the “End Period Date” EDGAR Header Tag will be removed.
    • ABS-EE filings will be suspended if the EX-102 XML attachment fails validation.
    • In addition, the ABS-EE Asset Data schema will be updated with the following changes:
      • Debt Securities ABS Asset Class: Item 5(d)(8), will be renamed to Actual Interest Collection Amount.
      • Filers will be able to provide future dates through December 31, 2150 in response to Asset Class Items that require a date.

    For more information, see the updated "EDGAR ABS XML Technical Specification" document available on the SEC's Public Website (https://www.sec.gov/info/edgar/tech-specs).

  • Filers will be able to provide underscores (“_”) in any portion of the “Notification E-mail Address” and “Submission Contact E-mail Address” fields within X-17A-5 and X-17A-5/A submissions.

    In addition, all ASCII character validations will be removed for broker-dealer entity name fields for submission form types X-17A-5 and X-17A-5/A. Broker-dealers can submit the aforementioned filings, irrespective of the ASCII characters in those fields.

  • Submission form types SDR, SDR/A, SDR-A, and SDR-W will no longer require the XBRL dei:EntityFilerCategory element to be provided for the following XBRL document types:
    • EX-99.SDR K.INS (Traditional XBRL)
    • EX-99.SDR L.INS (Traditional XBRL)
    • EX-99.SDR K (Inline XBRL)
    • EX-99.SDR L (Inline XBRL)
  • Submission types N-MFP2 and N-MFP2/A will be updated to allow filers to choose both “Exempt Government” and “Treasury” as the category of the fund in Item A.10 of the form.

    For more information, see the updated "EDGAR Form N-MFP2 XML Technical Specification" document available on the SEC's Public Website (https://www.sec.gov/info/edgar/tech-specs).

  • Filers will now be able to upload the notarized authentication document and the power of attorney as separate CORRESP documents when submitting a request to manually update their passphrase on the EDGAR Filer Management Website.

If you have any questions or concerns about the upgrade, please contact Filer Support at (202) 551-8900 (Option 3).