Draft Form N-CEN XML Technical Specification (Version 2.7)

Implementation Date: June 21, 2021

The Form N-CEN XML Technical Specification (Version 2.7) document describes the valid structure and content of the Form N-CEN Electronic Data Gathering, Analysis, and Retrieval (EDGAR) Extensible Markup Language (XML) submission types. This specification provides a basis for creating Form N-CEN submissions. The expectation is that software developers, working on behalf of filers, will be able to construct software that will generate a Form N-CEN submission that can be successfully processed by the EDGAR system.

The Form N-CEN submission file must conform to the EDGAR Form N-CEN Submission Taxonomy for the EDGAR system. This taxonomy comprises a collection of XML Schema Definition (.xsd) files that defines the structure of EDGAR Form N-CEN submissions. The Form N-CEN XML submissions can be transmitted to the SEC via the ‘Transmit’ link on the EDGAR FilerWeb (https://www.edgarfiling.sec.gov/) or the ‘Transmit XML Submission’ link on the EDGAR OnlineForms Website (https://www.onlineforms.edgarfiling.sec.gov).

On June 21, 2021, EDGAR Release 21.2 will introduce the following changes:

• In Section 3.4, updated MaxOccurs from 11 to 13 for the element name “relyOnRuleType”.
  • In the schema eis_NCEN_Filer.xsd, updated the maxOccurs for element name “relyOnRuleType” of type “RELY_ON_RULE_TYPE”, from 11 to 13.
• In Section 4.6, added 2 new entries “Rule 12d1-4 (17 CFR 270.12d1-4)” and “Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))” under the heading RELY_ON_RULE_TYPE.
  • In the schema eis_NCEN_Filer.xsd, updated RELY_ON_RULE_TYPE simpletype by adding the 2 new entries “Rule 12d1-4 (17 CFR 270.12d1-4)” and “Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))”.
  • EDGAR Form N-CEN Samples has been updated by adding the 2 new “relyOnRuleType” entries “Rule 12d1-4 (17 CFR 270.12d1-4)” and “Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G))”.
• In Section 3.4, added 2 new optional elements “isRule12D1Dash4Reliance” and “isRule12D1GReliance”.
  • In the schema eis_NCEN_Filer.xsd, updated UNIT_INVESTMENT_TRUST_TYPE complextype by adding 2 new elements “isRule12D1Dash4Reliance” and “isRule12D1GReliance”.
  • In Section 3.3, added new entry c#9 to support the 2 new added elements “isRule12D1Dash4Reliance” and “isRule12D1GReliance”.

• Download the Draft EDGAR Form N-CEN XML Technical Specification (Version 2.7) (compressed folder)