80 FR 59578 - Adoption of Updated EDGAR Filer Manual

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 191 (October 2, 2015)

Page Range		59578-59580
FR Document		2015-24904

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 to add two new Security-based Swap Data Repository (SDR) submission form types; make available new exhibit EX-36 (Depositor Certification for shelf offerings of asset-backed securities) on EDGARLink Online for submission form types SF-3, SF-3/A, 8-K, and 8-K/A; accept Exhibit K and Exhibit L in eXtensible Business Reporting Language (XBRL) format for submission form types SDR, SDR/A, SDR-A, and SDR-W; consider valid XBRL file attachments if they contain multiple identically tagged XBRL facts; make documentation updates to Chapter 2 of the ``EDGAR Filer Manual, Volume I: General Information'' and Chapters 2, 3, and 7 of the ``EDGAR Filer Manual, Volume II: EDGAR Filing'' relating to Form NRSRO; and make formatting changes to ``EDGAR Filer Manual, Volume I: General Information'', ``EDGAR Filer Manual, Volume II: EDGAR Filing'', and ``EDGAR Filer Manual, Volume III: N-SAR Supplement'' for compliance with Section 508 of the U.S. Rehabilitation Act. The Filer Manual is also being revised to address software changes made previously in EDGAR. On July 10, 2015, Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A, and 1-A POS were updated to prevent a filer from entering a response in Item 6(d) when the ``None'' option has been selected on Item 6. The EDGAR system is scheduled to be upgraded to support this functionality on September 14, 2015.

Federal Register, Volume 80 Issue 191 (Friday, October 2, 2015)

[Federal Register Volume 80, Number 191 (Friday, October 2, 2015)]
[Rules and Regulations]
[Pages 59578-59580]
From the Federal Register Online [www.thefederalregister.org]
[FR Doc No: 2015-24904]

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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 232

[Release Nos. 33-9911; 34-75918; 39-2506; IC-31823]

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 to add two new
Security-based Swap Data Repository (SDR) submission form types; make
available new exhibit EX-36 (Depositor Certification for shelf
offerings of asset-backed securities) on EDGARLink Online for
submission form types SF-3, SF-3/A, 8-K, and 8-K/A; accept Exhibit K
and Exhibit L in eXtensible Business Reporting Language (XBRL) format
for submission form types SDR, SDR/A, SDR-A, and SDR-W; consider valid
XBRL file attachments if they contain multiple identically tagged XBRL
facts; make documentation updates to Chapter 2 of the ``EDGAR Filer
Manual, Volume I: General Information'' and Chapters 2, 3, and 7 of the
``EDGAR Filer Manual, Volume II: EDGAR Filing'' relating to Form NRSRO;
and make formatting changes to ``EDGAR Filer Manual, Volume I: General
Information'', ``EDGAR Filer Manual, Volume II: EDGAR Filing'', and
``EDGAR Filer Manual, Volume III: N-SAR Supplement'' for compliance
with Section 508 of the U.S. Rehabilitation Act. The Filer Manual is
also being revised to address software changes made previously in
EDGAR. On July 10, 2015, Regulation A submission form types DOS, DOS/A,
1-A, 1-A/A, and 1-A POS were updated to prevent a filer from entering a
response in Item 6(d) when the ``None'' option has been selected on
Item 6. The EDGAR system is scheduled to be upgraded to support this
functionality on September 14, 2015.

DATES: Effective October 2, 2015. The incorporation by reference of the
EDGAR Filer Manual is approved by the Director of the Federal Register
as of October 2, 2015.

FOR FURTHER INFORMATION CONTACT: In the Division of Trading and
Markets, for

[[Page 59579]]

questions concerning SDR and NRSRO form types, contact Kathy Bateman at
(202) 551-4345; in the Division of Corporation Finance, for questions
concerning SF-3, 8-K, and Regulation A form types, contact Heather
Mackintosh at (202) 551-8111; in the Division of Economic and Risk
Analysis, for questions concerning XBRL submissions, contract Walter
Hamscher at (202) 551-5397; and in the Office of Information
Technology, for questions concerning Section 508 of the U.S.
Rehabilitation Act, contact Tammy Borkowski at (202) 551-7208.

SUPPLEMENTARY INFORMATION: We are adopting an updated EDGAR Filer
Manual, Volume I, Volume II, and Volume III. 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 August 3, 2015. See Release No. 33-9874 (August 24,
2015) [80 FR 51123].
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The revisions to the Filer Manual reflect changes within Volume I
entitled EDGAR Filer Manual, Volume I: ``General Information,'' Version
23 (September 2015), Volume II entitled EDGAR Filer Manual, Volume II:
``EDGAR Filing,'' Version 34 (September 2015), and Volume III entitled
EDGAR Filer Manual, Volume III: ``N-SAR Supplement,'' Version 5
(September 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. 33-9874 in which we implemented EDGAR
Release 15.2.2. For additional history of Filer Manual rules, please
see the cites therein.
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The EDGAR system will be upgraded to Release 15.3 on September 14,
2015 and will introduce the following changes:
As part of the final rules adopted on January 14, 2015 for
regulating security-based swap data repositories (SDR), the following
submission form types will be added to EDGAR: \4\
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\4\ See Security-Based Swap Data Repository Registration,
Duties, and Core Principles, Exchange Act Release No. 34-74246 (Feb.
11, 2015), 80 FR 14437 (March 9, 2015).

SDR-CCO--Annual Compliance Report and Annual Financial Report
SDR-CCO/A--Amendment to Annual Compliance Report and Annual
Financial Report

These submission form types can be accessed by selecting the
`EDGARLink Online Form Submission' link on the EDGAR Filing Web site.
Additionally, applicants may construct XML submissions for SDR-CCO and
SDR-CCO/A by following the ``EDGARLink Online XML Technical
Specification'' document available on the SEC's Public Web site (http://www.sec.gov/info/edgar.shtml).
Submission form types SDR-CCO and SDR-CCO/A will include the
``Request Confidentiality'' check box to allow applicants to request
confidential treatment for each attached document. After an SDR-CCO or
SDR-CCO/A filing 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 only
disseminate the attached documents of the submission that the SEC staff
has determined to be public.
In connection with the Commission's revised rules and forms for
disclosure by asset-backed securities issuers, new exhibit EX-36
(Depositor Certification for shelf offerings of asset-backed
securities) will be available on EDGARLink Online for submission form
types SF-3, SF-3/A, 8-K, and 8-K/A.\5\ This change will allow
registrants to file a certification required for shelf offerings of
asset-backed securities as an EX-36. Filers will have the option to
attach exhibit EX-36 in official HTML or ASCII format (and unofficially
in PDF format) on submission form types SF-3 and SF-3/A and on
submission form types 8-K and 8-K/A, when the SIC code associated with
the Primary Filer CIK is 6189 (Asset-Backed Securities).
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\5\ See Asset-Backed Securities Disclosure and Registration,
Securities Act Release No. 33-9638 (September 4, 2014).
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EDGAR will be updated to include the following XBRL document types
for submission form types SDR, SDR/A, SDR-A, and SDR-W:

EX-99.K SDR.INS, EX-99.K SDR.SCH, EX-99.K SDR.PRE, EX-99.K
SDR.LAB, EX-99.K SDR.CAL, and EX-99.K SDR.DEF
EX-99.L SDR.INS, EX-99.L SDR.SCH, EX-99.L SDR.PRE, EX-99.L
SDR.LAB, EX-99.L SDR.CAL, and EX-99.L SDR.DEF

Filers will now be able to submit SDR Exhibit K and Exhibit L in
XBRL format for submission form types SDR, SDR/A, SDR-A, and SDR-W.
Filers can continue to provide SDR Exhibit K and Exhibit L in ASCII or
HTML formats for submission form types SDR, SDR/A, SDR-A, and SDR-W.
XBRL file attachments will be considered valid if they contain
multiple identically tagged XBRL facts.
Documentation updates were made to Chapter 2 of the ``EDGAR Filer
Manual, Volume I: General Information'' and Chapters 2, 3, and 7 of the
``EDGAR Filer Manual, Volume II: EDGAR Filing'' relating to Form NRSRO.
Formatting changes were made to ``EDGAR Filer Manual, Volume I:
General Information'', ``EDGAR Filer Manual, Volume II: EDGAR Filing'',
and ``EDGAR Filer Manual, Volume III: N-SAR Supplement'' for compliance
with Section 508 of the U.S. Rehabilitation Act.
The Filer Manual is also being revised to address software changes
made previously in EDGAR. On July 10, 2015, EDGAR Release 15.2.e.4
introduced the following change:

Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A, and
1-A POS were updated to prevent a filer from entering a response in
Item 6(d) when the ``None'' option has been selected on Item 6.

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 Procedure Act
(APA).\6\ It follows that

[[Page 59580]]

the requirements of the Regulatory Flexibility Act \7\ do not apply.
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\6\ 5 U.S.C. 553(b).
\7\ 5 U.S.C. 601-612.
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The effective date for the updated Filer Manual and the rule
amendments is October 2, 2015. In accordance with the APA,\8\ 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 15.3 is scheduled to become available on September 14, 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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\8\ 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,\9\ Sections 3, 12,
13, 14, 15, 23, and 35A of the Securities Exchange Act of 1934,\10\
Section 319 of the Trust Indenture Act of 1939,\11\ and Sections 8, 30,
31, and 38 of the Investment Company Act of 1940.\12\
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\9\ 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
\10\ 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll.
\11\ 15 U.S.C. 77sss.
\12\ 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. 77c, 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
unless otherwise noted.
* * * * *

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 23 (September 2015). The requirements for filing
on EDGAR are set forth in the updated EDGAR Filer Manual, Volume II:
``EDGAR Filing,'' Version 34 (September 2015). Additional provisions
applicable to Form N-SAR filers are set forth in the EDGAR Filer
Manual, Volume III: ``N-SAR Supplement,'' Version 5 (September 2015).
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.

Dated: September 15, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015-24904 Filed 10-1-15; 8:45 am]
BILLING CODE 8011-01-P

59578 Federal Register / Vol. 80, No. 191 / Friday, October 2, 2015 / Rules and Regulations

PART 40—PROVISIONS COMMON TO Cover Sheet does not obviate the submitter’s SECURITIES AND EXCHANGE
REGISTERED ENTITIES responsibility to comply with all applicable COMMISSION
requirements for requesting confidential
■ 6. The authority citation for part 40 treatment in § 40.8 and, where appropriate, 17 CFR Part 232
continues to read as follows: § 145.9 of this chapter, and will not
[Release Nos. 33–9911; 34–75918; 39–2506;
Authority: 7 U.S.C. 1a, 2, 5, 6, 7, 7a and substitute for notice or full compliance with
IC–31823]
12, as amended by Titles VII and VIII of the such requirements.
Dodd-Frank Wall Street Reform and Adoption of Updated EDGAR Filer
Consumer Protection Act, Pub. L. 111–203, PART 140—ORGANIZATION, Manual
124 Stat. 1376 (2010). FUNCTIONS, AND PROCEDURES OF
THE COMMISSION AGENCY: Securities and Exchange
§ 40.8 [Amended]
Commission.
■ 7. Amend § 40.8 by removing and ■ 9. The authority citation for part 140 ACTION: Final rule.
reserving paragraph (b). continues to read as follows:
■ 8. Revise Appendix D to part 40 to SUMMARY: The Securities and Exchange
read as follows: Authority: 7 U.S.C. 2(a)(12), 12a, 13(c), Commission (the Commission) is
13(d), 13(e), and 16(b). adopting revisions to the Electronic Data
Appendix D to Part 40—Submission
■ 10. Revise paragraph (d)(2)(i) of Gathering, Analysis, and Retrieval
Cover Sheet and Instructions
§ 140.99 to read as follows: System (EDGAR) Filer Manual and
(a) A properly completed submission cover related rules to reflect updates to the
sheet shall accompany all rule and product § 140.99 Requests for exemptive, no- EDGAR system. The updates are being
submissions submitted electronically by a action and interpretative letters. made to add two new Security-based
registered entity in a format and manner
specified by the Secretary of the Commission * * * * * Swap Data Repository (SDR) submission
to the Secretary of the Commission. A form types; make available new exhibit
(d) * * * EX–36 (Depositor Certification for shelf
properly completed submission cover sheet
shall include all of the following: (2)(i) A request for a Letter relating to offerings of asset-backed securities) on
1. Identifier Code (optional)—A registered the provisions of the Act or the EDGARLink Online for submission form
entity Identifier Code at the top of the cover Commission’s rules, regulations or types SF–3, SF–3/A, 8–K, and 8–K/A;
sheet, if applicable. Such codes are orders governing designated contract accept Exhibit K and Exhibit L in
commonly generated by registered entities to
markets, registered swap execution eXtensible Business Reporting Language
provide an identifier that is unique to each
filing (e.g., NYMEX Submission 03–116). facilities, registered swap data (XBRL) format for submission form
2. Date—The date of the filing. repositories, registered foreign boards of types SDR, SDR/A, SDR–A, and
3. Organization—The name of the trade, the nature of particular SDR–W; consider valid XBRL file
organization filing the submission (e.g., transactions and whether they are attachments if they contain multiple
CBOT). identically tagged XBRL facts; make
4. Filing as a—Check in the appropriate
exempt or excluded from being required
to be traded on one of the foregoing documentation updates to Chapter 2 of
box indicating that the rule or product is the ‘‘EDGAR Filer Manual, Volume I:
being submitted by a designated contract entities, made available for trading
market (DCM), derivatives clearing determinations, position limits, hedging General Information’’ and Chapters 2, 3,
organization (DCO), swap execution facility and 7 of the ‘‘EDGAR Filer Manual,
exemptions, position aggregation
(SEF), or swap data repository (SDR). Volume II: EDGAR Filing’’ relating to
treatment or the reporting of market
5. Type of Filing—An indication as to Form NRSRO; and make formatting
whether the filing is a new rule, rule positions shall be filed with the changes to ‘‘EDGAR Filer Manual,
amendment or new product. The registered Director, Division of Market Oversight, Volume I: General Information’’,
entity should check the appropriate box to Commodity Futures Trading ‘‘EDGAR Filer Manual, Volume II:
indicate the applicable category under that Commission, Three Lafayette Centre, EDGAR Filing’’, and ‘‘EDGAR Filer
heading. 1155 21st Street NW., Washington, DC
6. Rule Numbers—For rule filings, the rule Manual, Volume III:
20581. N–SAR Supplement’’ for compliance
number(s) being adopted or modified in the
case of rule amendment filings. * * * * * with Section 508 of the U.S.
7. Description—For rule or rule
Issued in Washington, DC, on September
Rehabilitation Act. The Filer Manual is
amendment filings, a description of the new also being revised to address software
rule or rule amendment, including a 28, 2015, by the Commission.
changes made previously in EDGAR. On
discussion of its expected impact on the Christopher J. Kirkpatrick,
July 10, 2015, Regulation A submission
registered entity, market participants, and the Secretary of the Commission. form types DOS, DOS/A, 1–A, 1–A/A,
overall market. The narrative should describe
the substance of the submission with enough NOTE: The following appendix will not and
specificity to characterize all material aspects appear in the Code of Federal Regulations. 1–A POS were updated to prevent a filer
of the filing. from entering a response in Item 6(d)
(b) Other Requirements—A submission Appendix To Repeal of the Exempt when the ‘‘None’’ option has been
shall comply with all applicable filing Commercial Market and Exempt Board selected on Item 6. The EDGAR system
requirements for proposed rules, rule of Trade Exemptions—Commission is scheduled to be upgraded to support
amendments, or products. The filing of the Voting Summary this functionality on September 14,
submission cover sheet does not obviate the
2015.
asabaliauskas on DSK5VPTVN1PROD with RULES

registered entity’s responsibility to comply On this matter, Chairman Massad and
with applicable filing requirements (e.g., Commissioners Bowen and Giancarlo voted DATES: Effective October 2, 2015. The
rules submitted for Commission approval in the affirmative. No Commissioner voted in incorporation by reference of the
under § 40.5 must be accompanied by an the negative. EDGAR Filer Manual is approved by the
explanation of the purpose and effect of the Director of the Federal Register as of
proposed rule along with a description of any [FR Doc. 2015–25029 Filed 10–1–15; 8:45 am]
substantive opposing views). BILLING CODE 6351–01–P
October 2, 2015.
(c) Checking the box marked ‘‘confidential FOR FURTHER INFORMATION CONTACT: In
treatment requested’’ on the Submission the Division of Trading and Markets, for

VerDate Sep<11>2014 20:30 Oct 01, 2015 Jkt 238001 PO 00000 Frm 00030 Fmt 4700 Sfmt 4700 E:\FR\FM\02OCR1.SGM 02OCR1

59580 Federal Register / Vol. 80, No. 191 / Friday, October 2, 2015 / Rules and Regulations

the requirements of the Regulatory requirements for becoming an EDGAR SUMMARY: The Department of Justice
Flexibility Act 7 do not apply. Filer and updating company data are set published in the Federal Register of
The effective date for the updated forth in the updated EDGAR Filer August 11, 2014, a final rule making
Filer Manual and the rule amendments Manual, Volume I: ‘‘General technical changes to correcting a
is October 2, 2015. In accordance with Information,’’ Version 23 (September technical amendment to a definition in
the APA,8 we find that there is good 2015). The requirements for filing on the Bureau of Alcohol, Tobacco,
cause to establish an effective date less EDGAR are set forth in the updated Firearms, and Explosives regulations
than 30 days after publication of these EDGAR Filer Manual, Volume II: related to commerce in explosives. That
rules. The EDGAR system upgrade to ‘‘EDGAR Filing,’’ Version 34 (September document inadvertently included an
Release 15.3 is scheduled to become 2015). Additional provisions applicable incorrect definition for ‘‘Customs
available on September 14, 2015. The to Form N–SAR filers are set forth in the officer’’ in 27 CFR part 555. This final
Commission believes that establishing EDGAR Filer Manual, Volume III: ‘‘N– rule corrects the 2014 amendments by
an effective date less than 30 days after SAR Supplement,’’ Version 5
publication of these rules is necessary to revising the definition.
(September 2015). All of these
coordinate the effectiveness of the provisions have been incorporated by DATES: This rule is effective October 2,
updated Filer Manual with the system reference into the Code of Federal 2015.
upgrade. Regulations, which action was approved
FOR FURTHER INFORMATION CONTACT:
Statutory Basis by the Director of the Federal Register
in accordance with 5 U.S.C. 552(a) and Shermaine Kenner, Office of Regulatory
We are adopting the amendments to 1 CFR part 51. You must comply with Affairs, Enforcement Programs and
Regulation S–T under Sections 6, 7, 8, these requirements in order for Services, Bureau of Alcohol, Tobacco,
10, and 19(a) of the Securities Act of documents to be timely received and Firearms, and Explosives, U.S.
1933,9 Sections 3, 12, 13, 14, 15, 23, and accepted. The EDGAR Filer Manual is Department of Justice, 99 New York
35A of the Securities Exchange Act of available for Web site viewing and Avenue NE., Washington, DC 20226;
1934,10 Section 319 of the Trust printing; the address for the Filer telephone: (202) 648–7070 (this is not a
Indenture Act of 1939,11 and Sections 8, Manual is http://www.sec.gov/info/ toll-free number).
30, 31, and 38 of the Investment edgar.shtml. You can obtain paper
Company Act of 1940.12 SUPPLEMENTARY INFORMATION:
copies of the EDGAR Filer Manual from
List of Subjects in 17 CFR Part 232 the following address: Public Reference Background
Room, U.S. Securities and Exchange
Incorporation by reference, Reporting Commission, 100 F Street NE., The Bureau of Alcohol, Tobacco,
and recordkeeping requirements, Washington, DC 20549, on official Firearms, and Explosives (ATF)
Securities. business days between the hours of administers regulations published in
Text of the Amendment 10:00 a.m. and 3:00 p.m. You can also title 27, chapter II, Code of Federal
inspect the document at the National Regulations (CFR). On August 11, 2014,
In accordance with the foregoing,
Archives and Records Administration the Department of Justice (DOJ)
Title 17, Chapter II of the Code of
(NARA). For information on the published in the Federal Register a final
Federal Regulations is amended as
follows: availability of this material at NARA, rule that made technical amendments
call 202–741–6030, or go to: http:// and corrected typographical errors in
PART 232—REGULATION S–T— www.archives.gov/federal_register/ ATF regulations in the CFR (79 FR
GENERAL RULES AND REGULATIONS code_of_federal_regulations/ibr_ 46690). Many of the technical changes
FOR ELECTRONIC FILINGS locations.html. were made to reflect changes in
By the Commission. nomenclature resulting from the transfer
■ 1. The authority citation for Part 232 Dated: September 15, 2015. of ATF to DOJ from the Department of
continues to read in part as follows: the Treasury, pursuant to the Homeland
Brent J. Fields,
Authority: 15 U.S.C. 77c, 77f, 77g, 77h, Secretary. Security Act of 2002. The changes were
77j, 77s(a), 77z–3, 77sss(a), 78c(b), 78l, 78m, designed to provide clarity and enhance
[FR Doc. 2015–24904 Filed 10–1–15; 8:45 am]
78n, 78o(d), 78w(a), 78ll, 80a–6(c), 80a–8, uniformity throughout these regulations.
80a–29, 80a–30, 80a–37, and 7201 et seq.; BILLING CODE 8011–01–P
and 18 U.S.C. 1350 unless otherwise noted. The 2014 technical amendments
* * * * * inadvertently contained an incorrect
■ 2. Section 232.301 is revised to read DEPARTMENT OF JUSTICE definition for ‘‘Customs officer’’ in 27
as follows: CFR part 555. This final rule corrects
Bureau of Alcohol, Tobacco, Firearms, the changes in the Code of Federal
§ 232.301 EDGAR Filer Manual. and Explosives Regulations made by the 2014 technical
Filers must prepare electronic filings amendments by revising the definition.
in the manner prescribed by the EDGAR 27 CFR Part 555 Section 555.11, defining ‘‘Customs
Filer Manual, promulgated by the [Docket No. ATF 2013R–9F; AG Order No. officer,’’ is being amended so that it no
Commission, which sets out the 3566–2015] longer contains a reference to ‘‘Customs
technical formatting requirements for Service.’’ The new definition reads as
asabaliauskas on DSK5VPTVN1PROD with RULES

electronic submissions. The Technical Amendments to follows: ‘‘Any officer of U.S. Customs
Regulations; Correction and Border Protection, any
75U.S.C. 601–612.
85 AGENCY: Bureau of Alcohol, Tobacco, commissioned, warrant, or petty officer
U.S.C. 553(d)(3).
9 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a). Firearms, and Explosives, Department of of the Coast Guard, or any agent or other
10 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and Justice. person authorized by law to perform the
78ll. ACTION: Final rule; Correcting duties of a customs officer.’’
11 15 U.S.C. 77sss.
12 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37.
amendments.

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Document Created: 2015-12-15 08:44:38
Document Modified: 2015-12-15 08:44:38

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 October 2, 2015. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of October 2, 2015.
Contact		In the Division of Trading and Markets, for questions concerning SDR and NRSRO form types, contact Kathy Bateman at (202) 551-4345; in the Division of Corporation Finance, for questions concerning SF-3, 8-K, and Regulation A form types, contact Heather Mackintosh at (202) 551-8111; in the Division of Economic and Risk Analysis, for questions concerning XBRL submissions, contract Walter Hamscher at (202) 551-5397; and in the Office of Information Technology, for questions concerning Section 508 of the U.S. Rehabilitation Act, contact Tammy Borkowski at (202) 551-7208.
FR Citation		80 FR 59578
CFR Associated		Incorporation by Reference; Reporting and Recordkeeping Requirements and Securities