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Notice to Form N-PORT Filers: Pilot Phase 3 Commencement

Sept. 24, 2018

Date of Notice:  September 24, 2018

As previously announced, Form N-PORT filers will be permitted to submit test filings during Pilot Phase 3[1] commencing on October 1, 2018 through March 31, 2019.

Filers may construct XML submissions for reports on Form N-PORT by following the draft technical specifications posted here:

Please note that “live” filings on Form N-PORT are not permitted and the system will reject such filings until April 1, 2019.  Test filings will not be evaluated for legal compliance with the form requirements or be available for public viewing.

Filers should not submit test filings from 3:00 p.m. to 5:30 p.m. Eastern Time each day.  In addition, EDGAR will not accept Form N-PORT filings with greater than 500,000 holdings during the current testing period. 

As with all test filings, personally identifiable information or information that filers may wish to keep confidential should not be submitted.  During the testing periods, testers are strongly encouraged to create and submit fictional data for test filings.

The SEC welcomes feedback from testers on the Form N-PORT filing process.  Those who encounter problems during the testing of the form or who have questions regarding the draft technical specifications may email with the subject line "NPORT Feedback."

[1] On September 11, 2017 and February 12, 2018, the SEC opened Pilot Phase 1 and 2, respectively, which permitted test filings of both Forms N-CEN and N-PORT.  See:

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