|SC 13E4||SC 14D1.|
Finally, we are amending Rule 301 of Regulation S-T to provide for the incorporation by reference of the Filer Manual into the Code of Federal Regulations, which incorporation by reference was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. The revised Filer Manual and the amendments to Rule 301 will be effective on January 24, 2000.
You may obtain paper copies of the updated Filer Manual at the following address: Public Reference Room, U.S. Securities and Exchange Commission, 450 Fifth Street, N.W., Washington D.C. 20549-0102. We will post electronic format copies on the SEC's Web Site. The SEC's Web Site address for the Filer Manual is http://www.sec.gov/ asec/ofis/filerman.htm. You may also obtain copies from Disclosure Incorporated, the paper and microfiche contractor for the Commission, at (800) 638-8241.
Since the Filer Manual relates solely to agency procedures or practice, publication for notice and comment is not required under the Administrative Procedure Act (APA).9 It follows that the requirements of the Regulatory Flexibility Act 10 do not apply.
The effective date for the updated Filer Manual and the rule amendments is January 24, 2000. In accordance the APA,11 we find that there is good cause to establish an effective date less than 30 days after publication of these rules.
We are adopting the amendments to Regulation S-T under Sections 6, 7, 8, 10, and 19(a) of the Securities Act,12 Sections 3, 12, 13, 14, 15, 23, and 35A of the Securities Exchange Act of 1934,13 Section 20 of the Public Utility Holding Company Act of 1935,14 Section 319 of the Trust Indenture Act of 1939,15 and Sections 8, 30, 31, and 38 of the Investment Company Act.16
List of Subjects in 17 CFR Part 232
Incorporation by reference, Reporting and recordkeeping requirements, Securities.
In accordance with the foregoing, Title 17, Chapter II of the Code of Federal Regulations is amended as follows:
PART 232 - REGULATION S-T-GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS
1. The authority citation for Part 232 continues to read as follows:
Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll(d), 79t(a), 80a-8, 80a-29, 80a-30 and 80a-37.
2. Section 232.301 is revised to read as follows:
§232.301 EDGAR Filer Manual.
Filers must prepare electronic filings in the manner prescribed by the EDGAR Filer Manual, promulgated by the Commission, which sets out the technical formatting requirements for electronic submissions. The January 24, 2000 edition of the EDGAR Filer Manual: Guide for Electronic Filing with the U.S. Securities and Exchange Commission (Release 6.75) is incorporated into the Code of Federal Regulations by reference, which action was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. You must comply with these requirements in order for documents to be timely received and accepted. You can obtain paper copies of the EDGAR Filer Manual from the following address: Public Reference Room, U.S. Securities and Exchange Commission, 450 5th Street, N.W., Washington, D.C. 20549-0102 or by calling Disclosure Incorporated at (800) 638-8241. Electronic format copies are available on the SEC's Web Site. The SEC's Web Site address for the Manual is http://www.sec.gov/asec/ofis/filerman.htm. Information on becoming an EDGAR e-mail/electronic bulletin board subscriber is available by contacting TRW/UUNET at (703) 345-8900 or at www.trw-edgar.com.
By the Commission.
Jonathan G. Katz
January 11, 2000
1 We originally adopted the Filer Manual on April 1, 1993, with an effective date of April 26, 1993. Release No. 33-6986 (Apr. 1, 1993) [58 FR 18638]. We implemented the most recent update to the Filer Manual on October 18, 1999. See Release No. 33-7752 (October 20, 1999) [64 FR 56430].
2 See Rule 301 of Regulation S-T (17 CFR 232.301).
3 See Release Nos. 33-6977 (Feb. 23, 1993) [58 FR 14628], IC-19284 (Feb. 23, 1993) [58 FR 14848], 35-25746 (Feb. 23, 1993) [58 FR 14999], and 33-6980 (Feb. 23, 1993) [58 FR 15009] in which we comprehensively discuss the rules we adopted to govern mandated electronic filing. See also Release No. 33-7122 (Dec. 19, 1994) [59 FR 67752], in which we made the EDGAR rules final and applicable to all domestic registrants; Release No. 33-7427 (July 1, 1997) [62 FR 36450], in which we adopted minor amendments to the EDGAR rules; Release No. 33-7472 (Oct. 24, 1997) [62 FR 58647], in which we announced that, as of January 1, 1998, we would not accept in paper filings that we require filers to submit electronically; Release No. 34-40934 (Jan. 12, 1999) [64 FR 2843], in which we made mandatory the electronic filing of Form 13F; and Release No. 33-7684 (May 17, 1999) [64 FR 27888], in which we adopted amendments to implement the first stage of EDGAR modernization.
5 See Release Nos. 33-7514; IC-23066 (Mar. 2, 1998) [63 FR 13988], in which we proposed new Form N-6 for insurance company separate accounts that are registered as unit investment trust and that offer variable life policies.
6 17 CFR 230.482.
7 The mandated electronic submissions of Rule 101(a)(1)(i) of Regulation S-T [17 CFR 232.101(a)(1)(i)] include 482 ads where we require filers to file them with us. See Release 33-7122 at footnote 32 and accompanying text.
8 17 CFR 230.425, 230.473, 230.477, and 230.482.
9 5 U.S.C. 553(b)
10 5 U.S.C. 601- 612
11 5 U.S.C. 553(d)(3)
12 15 U.S.C. 77f, 77g, 77h, 77j and 77s(a).
13 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w and 78ll.
14 15 U.S.C. 79t.
15 15 U.S.C. 77sss.
16 15 U.S.C. 80a-8, 80a-29, 80a-30 and 80a-37.
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