Announcement

EDGAR Release 19.1.1 Software Upgrade

April 1, 2019

On April 1, 2019, EDGAR Release 19.1.1 will introduce the following changes:

  • EDGAR Release 19.1.1 implemented changes to the filing requirements for submission form type NPORT-P to be filed 60 calendar days following the month indicated in the period date of the submission. Submission form type NPORT-NP was updated to be filed within and up to 60 calendar days after the end of a fund’s fiscal quarter. Regardless of this change, the first six months of NPORT-P and NPORT-P/A filings are still non-public. Per Commission Release 33-10607:
    • Require filers to indicate that NPORT-P and NPORT-P/A submissions are non-confidential, and that NPORT-NP and NPORT-NP/A submissions are confidential.
    • Allow filers to submit NPORT-EX as an attachment for submission form types NPORT-P and NPORT-P/A with a period date after August 31, 2019.
    • Suspend submission form types NPORT-EX and NPORT-EX/A filings with period dates after August 31, 2019.
    • Update the Dissemination Rule for submission form types NPORT-P, NPORT-P/A and NT NPORT-P to immediately disseminate the filings including attachments if those filings pass EDGAR validations and have a period date after August 31, 2019.

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

  • Submission form types ATS-N, ATS-N/MA, ATS-N/UA, ATS-N/CA, ATS-N/OFA, ATS-N-C, and ATS-N-W have been updated with revised error messages to inform filers if invalid characters are included in free response questions. Filers should refer to Chapter 5 (Maintenance of Company Data) of the “EDGAR Filer Manual, Volume II: EDGAR Filing” for more details on EDGAR acceptable characters.

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

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

Last Reviewed or Updated: April 1, 2019