Announcement

EDGAR Release 18.2 Software Upgrade

July 9, 2018

On July 9, 2018, EDGAR Release 18.2 will introduce the following changes:

For more information, see the updated “Form DXML Technical Specifications” document available on the SEC’s Public Website (https://www.sec.gov/info/edgar/tech-specs). Also refer to Chapter 8 (Preparing and Transmitting Online Submissions) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”

This update will clarify the use of PDF documents, but not change the submission form types that allow certain documents to be attached in PDF format. See Chapter 5 (Constructing Attached Documents and Document Types) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”

  • EDGAR will be updated with pop-up messages to instruct filers not to provide personally identifiable information such as Social Security Number, Date of Birth, or Foreign ID Number for the following submission form types: MA, MA/A, MA-A, MA-I, and MA-I/A. The personally identifiable information should be removed from the forms if it exists already, and updated as follows:
    • For submission form type MA, filers should provide a value of “000-00-0000” for Item 1C(2). For Schedule A-2 and Schedule B-2, filers should provide either the individual CRD Number or a value of “0000000” if an individual CRD Number is not available.
    • For submission form types MA/A and MA-A, filers should provide a value of “000-00-0000” for Item 1C(2). For Schedule A-2 and Schedule B-2, filers should provide either the CRD Number or a value of “0000000” if an individual CRD Number is not available.
    • For submission form types MA-I and MA-I/A, filers should provide a value of “000-00-0000” for Item 1A.

    The Form CFPORTAL landing page will be updated with language to remind filers to not provide personally identifiable information. Filers should provide a CRD Number, IRS Tax Number, or IRS Employer ID Number. If those numbers do not exist, then filers should provide “0000000” as appropriate.

    See Chapter 8 (Preparing and Transmitting Online Submissions) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”

  • New exhibit EX-99.IND PUB ACCT (Change of Independent Public Accountant) will be available on EDGARLink Online for submission form types N-CSR, N-CSR/A, N-CSRS, and N-CSRS/A. This change will allow registrants to report a change in their independent public accountant. Filers can attach exhibit EX-99.IND PUB ACCT in official HTML or ASCII format (and unofficially in PDF format) on submission form types N-CSR, N-CSR/A, N-CSRS, and N-CSRS/A. See Appendix E (Automated Conformance Rules for EDGAR Data Fields) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”

  • Submission form types ABS-15G and ABS-15G/A will be updated to remove “Issuing Entity Name” for Item 2.01 – Registered Entity and Item 2.02 – Registered Entity, and “Issuing Entity CIK” for Item 2.01 – Unregistered Entity and Item 2.02 – Unregistered Entity under Rule 15Ga-2.

    Submission form types ABS-15G and ABS-15G/A will also be updated to validate that the Securitizer CIK, Depositor CIK, Issuing Entity CIK, and Underwriter CIK are valid CIKs.

    For more information, see the updated “EDGARLink Online XML Technical Specification” document available on the SEC’s Public Website (https://www.sec.gov/info/edgar/tech-specs). Also refer to Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions) and Appendix A (Messages Reported by EDGAR) of the "EDGAR Filer Manual, Volume II: EDGAR Filing."

  • Submission form types C, C/A, C-AR, C-AR/A, and C-TR will be updated to provide anew error message if a file name does not adhere to the EDGAR file naming conventions provided in Chapter 5 (Constructing Attached Documents and Document Types) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.” Submission form types C, C/A, C-AR, C-AR/A, and C-U will be updated to allow a decimal value for the “Current Number of Employees” field to accommodate part-time employees.

    For more information, see the updated “Form C XML Technical Specifications” document available on the SEC’s Public Website (https://www.sec.gov/info/edgar/tech-specs). Also refer to Chapter 8 (Preparing and Transmitting Online Submissions) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”

  • Submission form types D and D/A will be updated to increase the character limits from150 to 200 for the following fields:
    • “Last Name” under Item3: Related Persons
    • “Recipient” under Item 12: Sales Compensation
    • “(Associated)Broker or Dealer” under Item 12: Sales Compensation
  • The following EDGAR submission form types will be removed because Commission rulemaking has made them unnecessary: F-9, F-9/A, F-9POS, F-9EF (Release No. 33-9245); N-MFP, N-MFP/A, N-MFP1, N-MFP1/A (Release No.IC-31828); 497K1, 497K2, 497K3A, and 497K3B (Release No. 33-8998). See Chapter 3 (Index to Forms), Chapter 4 (Filing Fee Information), Chapter 6 (Interactive Data), Chapter 8 (Preparing and Transmitting Online Submissions), and Appendix C (EDGAR Submission Types) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”
  • Section 5.2.3 ‘Unofficial PDF’ of the “EDGAR Filer Manual, Volume II: EDGAR Filing” will be renamed to Section 5.2.3 ‘PDF’. This section and its subsections will be updated as follows:
    • Improve the description of the technical restrictions for whether a PDF is official or unofficial
    • Improve the explanation for whether hyperlinks are allowed or not
    • Update the list of forms that allow PDFs
    • Clarify the use of “plain text” in a PDF document to enable scanned images to appear without optical character recognition
  • Section 6.5.26 of the “EDGAR Filer Manual, Volume II: EDGAR Filing” will be updated to inform filers that XBRL validation allows two ways to report shares outstanding for multiple classes of stock. See Chapter 6 (Interactive Data) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”
  • The XBRL Pre-Viewer will no longer be hosted on https://www.sec.gov. Filers and other users of XBRL data can continue to download an open source version of the EDGAR Renderer/Pre-Viewer, please see https://www.sec.gov/page/osd_edgarvalandrender. The paragraph describing the previewer has been removed.
  • EDGAR will no longer provide support for the US-GAAP-2016, DEI-2013, DEI-2009, EXCH-2016, and RR-2010 taxonomies. Please see https://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete list of supported standard taxonomies.
  • EDGAR will be updated to support the 2018 version of IFRS Taxonomy. Please see https://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete list of supported standard taxonomies.

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

Modified: July 9, 2018
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