EDGAR Software Upgrade 16.1

April 22 – 24, 2016

From 10:30 p.m. (EDT) on Friday, Apr. 22 through 10 p.m. on Sunday, Apr. 24, 2016, the Electronic Data Gathering, Analysis and Retrieval (EDGAR) system will upgrade to  release 16.1. 

This software upgrade will include the following changes: 

• Security-based swap dealers and major security-based swap participants will be able to register and withdraw from registration with the Commission. 

• Broker-dealers that choose to file electronically will now submit the Risk Assessment Report for Brokers and Dealers Form 17-H via EDGAR electronically.  

• The “Current Number of Employees” field on the “Disclosure Requirements” screen of the Regulation Crowdfunding submission form types C, C/A, and C-U will be updated to permit a value of zero. Additionally, the “Jurisdiction of Incorporation/Organization” drop down on the “Issuer Information” screen for submission forms C, C/A, C-U, C-AR, C-AR/A, and C-TR will be updated to only list U.S. States, District of Columbia, and U.S. Territories. 

• Exhibit EX-102 (Asset Data File) has been updated to extend the length of certain fields and allow for “0” as a valid value in certain fields. The “EDGAR ABS XML Technical Specification” has been updated. 

• Submission form types N-MFP1 and N-MFP1/A have been updated to allow a future date up to 2500/12/31 for Item C.8.d “Maturity Date”.