80 FR 21649 - Adoption of Updated EDGAR Filer Manual

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 75 (April 20, 2015)

Page Range		21649-21650
FR Document		2015-08982

The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The updates are being made primarily to support the 2015 US GAAP financial reporting and 2015 EXCH taxonomies; add new form types for registration of Security-based swap data repositories (SDR); revise the Form ID Application Confirmation screen; remove references to the Paper Form ID; and revise Item 1 on submission form type MA-A. The EDGAR system was upgraded to support the new 2015 taxonomies and revised MA-A form functionalities on March 9, 2015. The EDGAR system is scheduled to be upgraded to support the other functionalities on April 13, 2015.

Federal Register, Volume 80 Issue 75 (Monday, April 20, 2015)

[Federal Register Volume 80, Number 75 (Monday, April 20, 2015)]
[Rules and Regulations]
[Pages 21649-21650]
From the Federal Register Online [www.thefederalregister.org]
[FR Doc No: 2015-08982]

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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 232

[Release Nos. 33-9746; 34-74714; 39-2502; IC-31551]

Adoption of Updated EDGAR Filer Manual

AGENCY: Securities and Exchange Commission.

ACTION: Final rule.

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SUMMARY: The Securities and Exchange Commission (the Commission) is
adopting revisions to the Electronic Data Gathering, Analysis, and
Retrieval System (EDGAR) Filer Manual and related rules to reflect
updates to the EDGAR system. The updates are being made primarily to
support the 2015 US GAAP financial reporting and 2015 EXCH taxonomies;
add new form types for registration of Security-based swap data
repositories (SDR); revise the Form ID Application Confirmation screen;
remove references to the Paper Form ID; and revise Item 1 on submission
form type MA-A. The EDGAR system was upgraded to support the new 2015
taxonomies and revised MA-A form functionalities on March 9, 2015. The
EDGAR system is scheduled to be upgraded to support the other
functionalities on April 13, 2015.

DATES: Effective April 20, 2015. The incorporation by reference of the
EDGAR Filer Manual is approved by the Director of the Federal Register
as of April 20, 2015.

FOR FURTHER INFORMATION CONTACT: In the Division of Trading and
Markets, for questions concerning Form SDR and the revisions for Form
MA-A, contact Kathy Bateman at (202) 551-4345, and in the Office of
Information Technology, contact Tammy Borkowski at (202) 551-7208.

SUPPLEMENTARY INFORMATION: We are adopting an updated EDGAR Filer
Manual, Volume I and Volume II. The Filer Manual describes the
technical formatting requirements for the preparation and submission of
electronic filings through the EDGAR system.\1\ It also describes the
requirements for filing using EDGARLink Online and the Online Forms/XML
Web site.
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\1\ We originally adopted the Filer Manual on April 1, 1993,
with an effective date of April 26, 1993. Release No. 33-6986 (April
1, 1993) [58 FR 18638]. We implemented the most recent update to the
Filer Manual on December 15, 2014. See Release No. 33-9692 (December
23, 2014) [79 FR 76878].
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The revisions to the Filer Manual reflect changes within Volume I
entitled EDGAR Filer Manual, Volume I: ``General Information,'' Version
20 (April 2015), and Volume II entitled EDGAR Filer Manual, Volume II:
``EDGAR Filing,'' Version 30 (April 2015). The updated manual will be
incorporated by reference into the Code of Federal Regulations.
The Filer Manual contains all the technical specifications for
filers to submit filings using the EDGAR system. Filers must comply
with the applicable provisions of the Filer Manual in order to assure
the timely acceptance and processing of filings made in electronic
format.\2\ Filers may consult the Filer Manual in conjunction with our
rules governing mandated electronic filing when preparing documents for
electronic submission.\3\
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\2\ See Rule 301 of Regulation S-T (17 CFR 232.301).
\3\ See Release No. 33-9692 in which we implemented EDGAR
Release 14.3. For additional history of Filer Manual rules, please
see the cites therein.
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The EDGAR system will be upgraded to Release 15.1 on April 13, 2015
and will introduce the following changes:
EDGAR will be updated to add new submission form types SDR, SDR/A,
SDR-A, and SDR-W. These submission form types can be accessed by
selecting the ``File SDR'' link on the EDGAR Filing Web site.
Additionally, applicants may construct XML submissions for these
submission types by following the ``EDGAR SDR XML Technical
Specification'' document available on the SEC's Public Web site (http://www.sec.gov/info/edgar.shtml).
Submission form types SDR, SDR/A, SDR-A, and SDR-W will include the
``Request Confidentiality'' check box to allow applicants to select
which information to request confidential treatment. After a Form SDR
is submitted, SEC staff will review the submission and make a
determination of whether the information for which confidential
treatment is requested should be made public. EDGAR will disseminate
only the content and attached exhibits of the submission that the SEC
staff has determined to be public.
The ``Form ID Application Confirmation'' screen will display four
additional labels: ``Signature of Authorized Person,'' ``Printed Name
of Signature,'' ``Title of Person Signing,'' and ``Notary Signature &
Seal to be Placed Here.'' This screen will also be updated to include a
``Print Window'' button to print the completed online Form ID
application. The printed application can be signed and notarized by the
filer to serve as the authentication document when applying for EDGAR
access.
All references to the Paper Form ID have been removed from the
Filer Manual. Filers can print the electronic Form ID and use this as
the authentication document as explained above.
EDGAR was updated to support the 2015 US GAAP financial reporting
taxonomy and the 2015 EXCH taxonomy. A complete listing of supported
standard taxonomies is available on http://www.sec.gov/info/edgar/edgartaxonomies.shtml.
Item 1 ``Identifying Information'' on submission type MA-A was
updated for the following question: ``Changes: Are there any changes in
this annual update to information provided in the municipal advisor's
most recent Form MA, other than the updated Execution Page?'' If filers
select ``No'' as a response to the question, then all fields will be
disabled on submission type MA-A with the exception of ``Execution''
and ``Filer Information'' tabs and the ``Fiscal Year End Information''
field on Item 1. Alternatively, if filers select ``Yes'' to the
question, then they must update applicable items on submission type MA-
A.
Along with the adoption of the Filer Manual, we are amending Rule
301 of Regulation S-T to provide for the incorporation by reference
into the Code of Federal Regulations of today's revisions. This
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 updated EDGAR Filer Manual will be available for Web site
viewing and printing; the address for the Filer Manual is http://www.sec.gov/info/edgar.shtml. You may also obtain paper copies of the
EDGAR Filer Manual from the following address: Public Reference Room,
U.S. Securities and Exchange Commission, 100 F Street NE., Washington,
DC 20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m.
Since the Filer Manual and the corresponding rule changes relate
solely to agency procedures or practice, publication for notice and
comment is not required under the Administrative

[[Page 21650]]

Procedure Act (APA).\4\ It follows that the requirements of the
Regulatory Flexibility Act \5\ do not apply.
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\4\ 5 U.S.C. 553(b).
\5\ 5 U.S.C. 601-612.
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The effective date for the updated Filer Manual and the rule
amendments is April 20, 2015. In accordance with the APA,\6\ we find
that there is good cause to establish an effective date less than 30
days after publication of these rules. The EDGAR system upgrade to
Release 15.1 is scheduled to become available on April 13, 2015. The
Commission believes that establishing an effective date less than 30
days after publication of these rules is necessary to coordinate the
effectiveness of the updated Filer Manual with the system upgrade.
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\6\ 5 U.S.C. 553(d)(3).
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Statutory Basis

We are adopting the amendments to Regulation S-T under Sections 6,
7, 8, 10, and 19(a) of the Securities Act of 1933,\7\ Sections 3, 12,
13, 14, 15, 23, and 35A of the Securities Exchange Act of 1934,\8\
Section 319 of the Trust Indenture Act of 1939,\9\ and Sections 8, 30,
31, and 38 of the Investment Company Act of 1940.\10\
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\7\ 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
\8\ 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll.
\9\ 15 U.S.C. 77sss.
\10\ 15 U.S.C. 80a-8, 80a-29, 80a-30, and 80a-37.
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List of Subjects in 17 CFR Part 232

Incorporation by reference, Reporting and recordkeeping
requirements, Securities.

Text of the Amendment

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

0
1. The authority citation for Part 232 continues to read in part as
follows:

Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 77z-3,
77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll, 80a-6(c),
80a-8, 80a-29, 80a-30, 80a-37, and 7201 et seq.; and 18 U.S.C. 1350.
* * * * *

0
2. Section 232.301 is revised to read as follows:

Sec. 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
requirements for becoming an EDGAR Filer and updating company data are
set forth in the updated EDGAR Filer Manual, Volume I: ``General
Information,'' Version 20 (April 2015). The requirements for filing on
EDGAR are set forth in the updated EDGAR Filer Manual, Volume II:
``EDGAR Filing,'' Version 30 (April 2015). Additional provisions
applicable to Form N-SAR filers are set forth in the EDGAR Filer
Manual, Volume III: ``N-SAR Supplement,'' Version 4 (October 2014). All
of these provisions have been incorporated by reference into the Code
of Federal Regulations, 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. The EDGAR Filer Manual is available
for Web site viewing and printing; the address for the Filer Manual is
http://www.sec.gov/info/edgar.shtml. You can obtain paper copies of the
EDGAR Filer Manual from the following address: Public Reference Room,
U.S. Securities and Exchange Commission, 100 F Street NE., Washington,
DC 20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. You can also inspect the document at the National Archives
and Records Administration (NARA). For information on the availability
of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.

By the Commission.
April 13, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015-08982 Filed 4-17-15; 8:45 am]
BILLING CODE 8011-01-P

21650 Federal Register / Vol. 80, No. 75 / Monday, April 20, 2015 / Rules and Regulations

Procedure Act (APA).4 It follows that electronic submissions. The (ix) Method 18 at 40 CFR part 60,
the requirements of the Regulatory requirements for becoming an EDGAR appendix A–6.
Flexibility Act 5 do not apply. Filer and updating company data are set * * * * *
The effective date for the updated forth in the updated EDGAR Filer [FR Doc. 2015–09121 Filed 4–17–15; 8:45 am]
Filer Manual and the rule amendments Manual, Volume I: ‘‘General BILLING CODE 1505–01–D
is April 20, 2015. In accordance with Information,’’ Version 20 (April 2015).
the APA,6 we find that there is good The requirements for filing on EDGAR
cause to establish an effective date less are set forth in the updated EDGAR Filer ENVIRONMENTAL PROTECTION
than 30 days after publication of these Manual, Volume II: ‘‘EDGAR Filing,’’ AGENCY
rules. The EDGAR system upgrade to Version 30 (April 2015). Additional
Release 15.1 is scheduled to become provisions applicable to Form N–SAR 40 CFR Part 271
available on April 13, 2015. The filers are set forth in the EDGAR Filer [EPA–R01–RCRA–2015–0195; FRL–9926–
Commission believes that establishing Manual, Volume III: ‘‘N–SAR 54–Region 1]
an effective date less than 30 days after Supplement,’’ Version 4 (October 2014).
publication of these rules is necessary to All of these provisions have been Vermont: Final Authorization of State
coordinate the effectiveness of the incorporated by reference into the Code Hazardous Waste Management
updated Filer Manual with the system of Federal Regulations, which action Program Revisions
upgrade. was approved by the Director of the
Federal Register in accordance with 5 AGENCY: Environmental Protection
Statutory Basis Agency (EPA).
U.S.C. 552(a) and 1 CFR part 51. You
We are adopting the amendments to must comply with these requirements in ACTION: Direct final rule.
Regulation S–T under Sections 6, 7, 8, order for documents to be timely
10, and 19(a) of the Securities Act of received and accepted. The EDGAR SUMMARY: The State of Vermont has
1933,7 Sections 3, 12, 13, 14, 15, 23, and Filer Manual is available for Web site applied to EPA for Final authorization
35A of the Securities Exchange Act of viewing and printing; the address for of changes to its hazardous waste
1934,8 Section 319 of the Trust the Filer Manual is http://www.sec.gov/ program under the Resource
Indenture Act of 1939,9 and Sections 8, info/edgar.shtml. You can obtain paper Conservation and Recovery Act (RCRA).
30, 31, and 38 of the Investment copies of the EDGAR Filer Manual from EPA has determined that these changes
Company Act of 1940.10 the following address: Public Reference satisfy all requirements needed to
Room, U.S. Securities and Exchange qualify for Final authorization, and is
List of Subjects in 17 CFR Part 232 authorizing the State’s changes through
Commission, 100 F Street NE.,
Incorporation by reference, Reporting Washington, DC 20549, on official this direct final action.
and recordkeeping requirements, business days between the hours of DATES: This rule is effective on June 19,
Securities. 10:00 a.m. and 3:00 p.m. You can also 2015 without further notice, unless EPA
Text of the Amendment inspect the document at the National receives adverse written comment by
Archives and Records Administration May 20, 2015. If EPA receives adverse
In accordance with the foregoing, comment, we will publish a timely
Title 17, Chapter II of the Code of (NARA). For information on the
availability of this material at NARA, withdrawal in the Federal Register
Federal Regulations is amended as informing the public that the rule will
follows: call 202–741–6030, or go to: http://www.
archives.gov/federal_register/code_of_ not take effect, unless and until the
PART 232—REGULATION S–T— federal_regulations/ibr_locations.html. public comment is considered and
GENERAL RULES AND REGULATIONS another final rulemaking document is
By the Commission.
FOR ELECTRONIC FILINGS April 13, 2015.
issued.
Brent J. Fields, ADDRESSES: Submit any comments,
■ 1. The authority citation for Part 232 identified by Docket ID No. EPA–R01–
Secretary.
continues to read in part as follows: RCRA–2015–0195, by one of the
[FR Doc. 2015–08982 Filed 4–17–15; 8:45 am]
Authority: 15 U.S.C. 77f, 77g, 77h, 77j, BILLING CODE 8011–01–P
following methods:
77s(a), 77z–3, 77sss(a), 78c(b), 78l, 78m, 78n, • www.regulations.gov: Follow the
78o(d), 78w(a), 78ll, 80a–6(c), 80a–8, 80a–29, on-line instructions for submitting
80a–30, 80a–37, and 7201 et seq.; and 18 comments.
U.S.C. 1350. ENVIRONMENTAL PROTECTION • Email: leitch.sharon@epa.gov.
* * * * * AGENCY • Fax: (617) 918–0647, to the
■ 2. Section 232.301 is revised to read attention of Sharon Leitch.
40 CFR Part 98
as follows: • Mail: Sharon Leitch, RCRA Waste
Mandatory Greenhouse Gas Reporting Management and UST Section, Office of
§ 232.301 EDGAR Filer Manual.
Site Remediation and Restoration
Filers must prepare electronic filings CFR Correction (OSRR07–1), US EPA Region 1, 5 Post
in the manner prescribed by the EDGAR Office Square, Suite 100, Boston, MA
Filer Manual, promulgated by the In Title 40 of the Code of Federal
Regulations, Parts 96 to 99, revised as of 02109–3912.
Commission, which sets out the • Hand Delivery: Sharon Leitch,
technical formatting requirements for July 1, 2014, on page 859, in § 98.244,
reinstate paragraph (b)(4)(ix) to read as RCRA Waste Management and UST
mstockstill on DSK4VPTVN1PROD with RULES

45 follows: Section, Office of Site Remediation and
U.S.C. 553(b).
55
Restoration (OSRR07–1), US EPA
U.S.C. 601–612.
6 5 U.S.C. 553(d)(3).
§ 98.244 Monitoring and QA/QC Region 1, 5 Post Office Square, 7th floor,
7 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
requirements. Boston, MA 02109–3912. Such
8 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll. * * * * * deliveries are only accepted during
9 15 U.S.C. 77sss. (b) * * * normal hours of operation, and special
10 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37. (4) * * * arrangements should be made for

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Document Created: 2018-02-21 10:12:57
Document Modified: 2018-02-21 10:12:57

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Rules and Regulations
Action		Final rule.
Dates		Effective April 20, 2015. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of April 20, 2015.
Contact		In the Division of Trading and Markets, for questions concerning Form SDR and the revisions for Form MA-A, contact Kathy Bateman at (202) 551-4345, and in the Office of Information Technology, contact Tammy Borkowski at (202) 551-7208.
FR Citation		80 FR 21649
CFR Associated		Incorporation by Reference; Reporting and Recordkeeping Requirements and Securities