EDGAR Release 21.3.1
On October 6, 2021, EDGAR Release 21.3.1 will introduce the following changes for Form X-17A-5 Part III:
- Updated the sample XML file under Section 2.1 to reflect the latest schema changes
- Updated Section 3.4 with the following changes:
- Added new element confirming008CopyNumber
- Added new element confirming026CopyNumber
- Added new element typeOfBDRegistrant
- Added new element typeOfSDRegistrant
- Added the following new choice list options
- REGISTRANT_BD_TYPE
- REGISTRANT_SD_TYPE
- SUB_REGISTRANT_BD_TYPE
- Updated Section 4 to include the following new Data Value Constraints
- REGISTRANT_BD_TYPE
- REGISTRANT_SD_TYPE
- SUB_REGISTRANT_BD_TYPE
- Updated Section 4.3 REGISTRANT_BD_TYPE with the following option
- Broker-dealer
- Updated Section 4.4 REGISTRANT_SD_TYPE with the following options
- Security-based swap dealer
- Major security-based swap participant
- Updated Section 4.5 SUB_REGISTRANT_BD_TYPE with the following options
- OTC derivatives dealer
- Updated Section 4.7 SUB_DOCUMENT_TYPE to remove the entire document types except for document type “FULL”.
- Updated Section 5.2.1 with the appropriate document types and sample after removing the entire document types except for document type “FULL”.
For more information, see the updated “Form X-17A-5 XML Technical Specification (Version 6)” document available on sec.gov (https://www.sec.gov/info/edgar/tech-specs).
If you have any questions, please contact Filer Support at (202) 551-8900 (Option 3).
Last Reviewed or Updated: June 28, 2024