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Reg AB II Asset-level Requirements Compliance Date on November 23, 2016

Oct. 31, 2016

Form ABS-EE is a form that issuers of asset-backed securities use to file exhibits EX-102 (Asset Data File) and EX-103 (Asset Related Document).  We encourage filers to test file Form ABS-EE prior to submitting on EDGAR and if you are submitting a large filing, consider filing earlier in the day due to potentially long upload times.  Below are some useful links that can provide direction when formulating your ABS-EE submission. 

Where can I find details on specified content for asset-level disclosures?

Where can I find information on the codes for responding to the asset-level rules and how to correctly format the XML files for asset-level disclosures?

  • The SEC has published the ABS XML Technical Specifications document.   It can be found on the website under Filings -> Information for EDGAR Filers-> Everything EDGAR button -> Technical Specifications (ABS XML Technical Specification) and is available here:

  • Any updates to the technical specifications will be available on the same page.

What other references are available to ABS issuers?

  • Staff Guidance for EDGAR Filings for Asset-Backed Securities Issuers published in November 2016

  • Compliance & Disclosure Interpretations Information for ABS-EE filings updated on September 9, 2016

    Both of these references are available here:

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