82_FR_16054 82 FR 15993 - Adoption of Updated EDGAR Filer Manual

82 FR 15993 - Adoption of Updated EDGAR Filer Manual

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 61 (March 31, 2017)

Page Range15993-15995
FR Document2017-06290

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 new online version of the Transfer Agent submission form types; provide for the ability for filers to submit duplicate filings for submission form type 10-D; and provide for the ability for filers to upload the notarized authentication document and the power of attorney as separate CORRESP documents when submitting a request to manually update their EDGAR filing passphrase. The EDGAR system was upgraded to support the US GAAP 2017 Taxonomy on March 6, 2016. The EDGAR system is scheduled to be upgraded to support the other functionalities on March 13, 2017.

Federal Register, Volume 82 Issue 61 (Friday, March 31, 2017)
[Federal Register Volume 82, Number 61 (Friday, March 31, 2017)]
[Rules and Regulations]
[Pages 15993-15995]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-06290]


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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 232

[Release Nos. 33-10324; 34-80182; 39-2516; IC-32527]


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 new online version of the Transfer Agent submission form 
types; provide for the ability for filers to submit duplicate filings 
for submission form type 10-D; and provide for the ability for filers 
to upload the notarized authentication document and the power of 
attorney as separate CORRESP documents when submitting a request to 
manually update their EDGAR filing passphrase. The EDGAR system was 
upgraded to support the US GAAP 2017 Taxonomy on March 6, 2016. The 
EDGAR system is scheduled to be upgraded to support the other 
functionalities on March 13, 2017.

DATES: Effective March 31, 2017. The incorporation by reference of the 
EDGAR Filer Manual is approved by the Director of the Federal Register 
as of March 31, 2017.

FOR FURTHER INFORMATION CONTACT: In the Division of Corporation 
Finance, for questions concerning Form ABS-EE and Regulation A 
submission form types, contact Vik Sheth at (202) 551-3818; in the 
Division of Trading and Markets, for questions concerning Form TA and 
Form X-17A-5, contact Kathy Bateman at (202) 551-4345; in the Office of 
Investment Management, for questions concerning Form N-MFP, contact 
Heather Fernandez at (202) 551-6708; and in the Division of Economic 
and Risk Analysis, for questions concerning eXtensible Business 
Reporting Language (XBRL), contact Walter Hamscher at (202) 551-5397.

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 January 30, 2017. See Release No. 33-10295 (February 
08, 2017) [82 FR 9680].
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    The revisions to the Filer Manual reflect changes within Volume I 
entitled EDGAR Filer Manual, Volume I: ``General Information,'' Version 
27 (March 2017) and Volume II entitled EDGAR Filer Manual, Volume II: 
``EDGAR Filing,'' Version 41 (March 2017). 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. 33-10295 in which we implemented EDGAR 
Release 17.0.2. For additional history of Filer Manual rules, please 
see the citations therein.
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    The EDGAR system will be upgraded to Release 17.1 on March 13, 2017 
and will introduce the following changes:
    The Microsoft InfoPath templates used to file Transfer Agent forms 
TA-1, TA-1/A, TA-2, TA-2/A, and TA-W will be retired on March 10, 2017. 
Effective March 13, 2017, filers must use the new online version of the 
forms application available on the EDGAR Filing Web site to file 
Transfer Agent forms. This web-based application will replace the 
corresponding Microsoft InfoPath templates that were previously used to 
file these forms. Filers will no longer need to purchase the 3rd party 
InfoPath application (which has been discontinued by Microsoft) in 
order to file the Transfer Agent forms. Filers can access Transfer 
Agent forms by selecting the `File Transfer Agent Forms' link on the 
EDGAR Filing Web site.
    Chapter 8 (Preparing and Transmitting EDGARLite Submissions) of the 
``EDGAR Filer Manual, Volume II:

[[Page 15994]]

EDGAR Filing'' will be retired. Two new sections, `File Transfer Agent 
Forms' and `Completing a Transfer Agent Form' will be added to the 
former Chapter 9 (new Chapter 8--Preparing and Transmitting Online 
Submissions) of the ``EDGAR Filer Manual, Volume II: EDGAR Filing'' to 
guide filers through the filing process.
    Filers can continue to construct XML submissions as described in 
the XML Technical Specification documents for Transfer Agent forms, and 
submit them via the EDGAR Filing Web site.
    EDGAR will be updated to allow filers to submit duplicate filings 
for submission form type 10-D. The 10-D distribution reports for ABS 
entities can have multiple deals in which each deal will report on the 
10-D generating a CIK with multiple reports for the same period.
    EDGAR will be upgraded to allow filers to provide up to four digits 
after the decimal point for the ``Price per security'' field for 
submission form types DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, 1-K/A, 1-Z, 
and 1-Z/A.
    EDGAR will be upgraded to include the following changes to ABS-EE 
and ABS-EE/A:
     The restriction on future dates for ABS-EE and ABS-EE/A in 
the ``End Period Date'' EDGAR Header Tag will be removed.
     ABS-EE filings will be suspended if the EX-102 XML 
attachment fails validation.
     In addition, the ABS-EE Asset Data schema will be updated 
with the following changes:
    [ssquf] Debt Securities ABS Asset Class: Item 5(d)(8) will be 
renamed to Actual Interest Collection Amount.
    [ssquf] Filers will be able to provide future dates through 
December 31, 2150 in response to Asset Class Items that require a date.
    For more information, see the updated ``EDGAR ABS XML Technical 
Specification'' document available on the SEC's Public Web site 
(https://www.sec.gov/info/edgar/tech-specs).
    Filers will be able to provide underscores (``_'') in any portion 
of the ``Notification Email Address'' and ``Submission Contact Email 
Address'' fields within X-17A-5 and X-17A-5/A submissions. In addition, 
all ASCII character validations will be removed for broker-dealer 
entity name fields for submission form types X-17A-5 and X-17A-5/A. 
Broker-dealers can submit the aforementioned filings, irrespective of 
the ASCII characters in those fields.
    Submission form types SDR, SDR/A, SDR-A, and SDR-W will no longer 
require the XBRL dei:EntityFilerCategory element to be provided to 
enable the following XBRL document Types to pass validation:
     EX-99.SDR K.INS (Traditional XBRL).
     EX-99.SDR L.INS (Traditional XBRL).
     EX-99.SDR K (Inline XBRL).
     EX-99.SDR L (Inline XBRL).
    Submission types N-MFP2 and N-MFP2/A will be updated to allow 
filers to choose both ``Exempt Government'' and ``Treasury'' as the 
category of the fund in Item A.10 of the form. For more information, 
see the updated ``EDGAR Form N-MFP2 XML Technical Specification'' 
document located on the SEC's Public Web site (https://www.sec.gov/info/edgar/tech-specs).
    Filers will now be able to upload the notarized authentication 
document and the power of attorney as separate CORRESP documents when 
submitting a request to manually update their passphrase on the EDGAR 
Filer Management Web site (https://www.filermanagement.edgarfiling.sec.gov).
    On March 6, 2017, the EDGAR system was upgraded to Release 17.0.3 
and now supports the US GAAP 2017 Taxonomy; and updated SEC taxonomies 
COUNTRY, CURRENCY, EXCH and NAICS. Please see https://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete listing of supported 
standard taxonomies. Taxonomy Disclosure Templates have been made 
available to be used as part of the filer's extension taxonomy based on 
examples in the Taxonomy Implementation Guides. Please see Release 
Notes for US GAAP 2017 for more details.
    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 https://www.sec.gov/info/edgar/edmanuals.htm. 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).\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)(A).
    \5\ 5 U.S.C. 601-612.
---------------------------------------------------------------------------

    The effective date for the updated Filer Manual and the rule 
amendments is March 31, 2017. 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 17.1 is scheduled to become available on March 13, 2017. 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 these system upgrades.
---------------------------------------------------------------------------

    \6\ 5 U.S.C. 553(d)(3).
---------------------------------------------------------------------------

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. 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

[[Page 15995]]

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 27 (March 2017). The 
requirements for filing on EDGAR are set forth in the updated EDGAR 
Filer Manual, Volume II: ``EDGAR Filing,'' Version 41 (March 2017). 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 
https://www.sec.gov/info/edgar/edmanuals.htm. 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: March 13, 2017.
Brent J. Fields,
Secretary.
[FR Doc. 2017-06290 Filed 3-30-17; 8:45 am]
BILLING CODE 8011-01-P



                                                                 Federal Register / Vol. 82, No. 61 / Friday, March 31, 2017 / Rules and Regulations                                                 15993

                                             (o) Material Incorporated by Reference                     Issued in Kansas City, Missouri, on March          SUPPLEMENTARY INFORMATION:      We are
                                                (1) The Director of the Federal Register             9, 2017.                                              adopting an updated EDGAR Filer
                                             approved the incorporation by reference                 Melvin Johnson,                                       Manual, Volume I and Volume II. The
                                             (IBR) of the service information listed in this         Acting Manager, Small Airplane Directorate,           Filer Manual describes the technical
                                             paragraph under 5 U.S.C. 552(a) and 1 CFR               Aircraft Certification Service.                       formatting requirements for the
                                             part 51.                                                                                                      preparation and submission of
                                                                                                     [FR Doc. 2017–05234 Filed 3–30–17; 8:45 am]
                                                (2) You must use this service information
                                             as applicable to do the actions required by             BILLING CODE 4910–13–P                                electronic filings through the EDGAR
                                             this AD, unless the AD specifies otherwise.                                                                   system.1 It also describes the
                                                (i) Stewart-Warner South Wind                                                                              requirements for filing using
                                             Corporation South Wind Service Manual for               SECURITIES AND EXCHANGE                               EDGARLink Online and the Online
                                             Stewart Warner South Wind Aircraft Heaters              COMMISSION                                            Forms/XML Web site.
                                             8240–A, 8240–C, 8259–A, 8259–C, 8259–DL,                                                                         The revisions to the Filer Manual
                                             8259–FL1, 8259–GL1, 8259–GL2, Form No.                                                                        reflect changes within Volume I entitled
                                                                                                     17 CFR Part 232
                                             09–998, revised: December 1969.                                                                               EDGAR Filer Manual, Volume I:
                                                (ii) South Wind Division Stewart-Warner              [Release Nos. 33–10324; 34–80182; 39–                 ‘‘General Information,’’ Version 27
                                             Corporation Service Manual Beech Aircraft               2516; IC–32527]
                                             Corporation PM–20688, Part No. 404–001039                                                                     (March 2017) and Volume II entitled
                                             Heater Assy. (SW 8253–B), Part No. 404–                                                                       EDGAR Filer Manual, Volume II:
                                                                                                     Adoption of Updated EDGAR Filer
                                             001056 Blower Assy. (SW G–716307), Part                                                                       ‘‘EDGAR Filing,’’ Version 41 (March
                                                                                                     Manual
                                             No. G–714127 Thermostat (SW G–714127),                                                                        2017). The updated manual will be
                                             revised: April 1965.                                    AGENCY:  Securities and Exchange                      incorporated by reference into the Code
                                                (iii) South Wind Division Stewart-Warner             Commission.                                           of Federal Regulations.
                                             Corporation Service Manual South Wind                                                                            The Filer Manual contains all the
                                             Aircraft Heater 8472 Series, Form No. 09–               ACTION: Final rule.
                                                                                                                                                           technical specifications for filers to
                                             1015, issued: April 1975.
                                                                                                     SUMMARY:    The Securities and Exchange               submit filings using the EDGAR system.
                                                (iv) Meggitt Inspection Procedure, Pressure
                                             Decay Test, Aircraft Heaters, dated May 17,             Commission (the Commission) is                        Filers must comply with the applicable
                                             2014.                                                   adopting revisions to the Electronic Data             provisions of the Filer Manual in order
                                                (3) For service information identified in            Gathering, Analysis, and Retrieval                    to assure the timely acceptance and
                                             this AD, contact Meggitt Control Systems, 3             System (EDGAR) Filer Manual and                       processing of filings made in electronic
                                             Industrial Drive, Troy, Indiana 47588;                  related rules to reflect updates to the               format.2 Filers may consult the Filer
                                             telephone: (812) 547–7071; fax: (812) 547–                                                                    Manual in conjunction with our rules
                                             2488; email: infotroy@meggitt.com; Internet:
                                                                                                     EDGAR system. The updates are being
                                                                                                     made primarily to support the new                     governing mandated electronic filing
                                             www.stewart-warner.com.
                                                                                                     online version of the Transfer Agent                  when preparing documents for
                                                (4) You may view this service information
                                             at FAA, Small Airplane Directorate, 901                 submission form types; provide for the                electronic submission.3
                                             Locust, Kansas City, Missouri 64106. For                ability for filers to submit duplicate                   The EDGAR system will be upgraded
                                             information on the availability of this                 filings for submission form type 10–D;                to Release 17.1 on March 13, 2017 and
                                             material at the FAA, call (816) 329–4148.               and provide for the ability for filers to             will introduce the following changes:
                                                (5) You may view this service information            upload the notarized authentication                      The Microsoft InfoPath templates
                                             that is incorporated by reference at the
                                                                                                     document and the power of attorney as                 used to file Transfer Agent forms TA–
                                             National Archives and Records                                                                                 1, TA–1/A, TA–2, TA–2/A, and TA–W
                                             Administration (NARA). For information on               separate CORRESP documents when
                                                                                                                                                           will be retired on March 10, 2017.
                                             the availability of this material at NARA, call         submitting a request to manually update
                                                                                                                                                           Effective March 13, 2017, filers must use
                                             202–741–6030, or go to: http://                         their EDGAR filing passphrase. The
                                             www.archives.gov/federal-register/cfr/ibr-                                                                    the new online version of the forms
                                                                                                     EDGAR system was upgraded to support
                                             locations.html.                                                                                               application available on the EDGAR
                                                                                                     the US GAAP 2017 Taxonomy on March
                                                                                                                                                           Filing Web site to file Transfer Agent
                                             Appendix 1 to AD 2017–06–03                             6, 2016. The EDGAR system is
                                                                                                                                                           forms. This web-based application will
                                               The following service information applies             scheduled to be upgraded to support the
                                                                                                                                                           replace the corresponding Microsoft
                                             to certain combustion heater models affected            other functionalities on March 13, 2017.
                                                                                                                                                           InfoPath templates that were previously
                                             by this AD, but the service information                 DATES: Effective March 31, 2017. The
                                             cannot be required by the AD. You may use
                                                                                                                                                           used to file these forms. Filers will no
                                                                                                     incorporation by reference of the                     longer need to purchase the 3rd party
                                             this service information for procedural                 EDGAR Filer Manual is approved by the
                                             guidance when applying for an alternative                                                                     InfoPath application (which has been
                                             method of compliance.
                                                                                                     Director of the Federal Register as of                discontinued by Microsoft) in order to
                                                                                                     March 31, 2017.                                       file the Transfer Agent forms. Filers can
                                             —South Wind Service Manual P.M. 35710
                                               Aircraft Heaters 8240–E, 8259–HL1, HL2,               FOR FURTHER INFORMATION CONTACT: In                   access Transfer Agent forms by selecting
                                               -L, supplements attached HR2.JR2.M;                   the Division of Corporation Finance, for              the ‘File Transfer Agent Forms’ link on
                                             —Stewart-Warner Corporation South Wind                  questions concerning Form ABS–EE and                  the EDGAR Filing Web site.
                                               Division Service Manual South Wind                    Regulation A submission form types,                      Chapter 8 (Preparing and
                                               Aircraft Heaters Series 921 and 930, Ind-             contact Vik Sheth at (202) 551–3818; in               Transmitting EDGARLite Submissions)
                                               506, Revision 4–53;
                                             —Stewart-Warner Corporation South Wind
                                                                                                     the Division of Trading and Markets, for              of the ‘‘EDGAR Filer Manual, Volume II:
                                               Division Service Manual SouthWind Series              questions concerning Form TA and
                                               940 Heater, PM–10035, Revision 3–82;                  Form X–17A–5, contact Kathy Bateman                      1 We originally adopted the Filer Manual on April

                                             —Stewart-Warner Corporation South Wind                  at (202) 551–4345; in the Office of                   1, 1993, with an effective date of April 26, 1993.
                                                                                                                                                           Release No. 33–6986 (April 1, 1993) [58 FR 18638].
                                               Division Service Manual South Wind                    Investment Management, for questions                  We implemented the most recent update to the Filer
                                               Model 978 Personal Heater, Form No.                   concerning Form N–MFP, contact
nlaroche on DSK30NT082PROD with RULES




                                                                                                                                                           Manual on January 30, 2017. See Release No. 33–
                                               PM6348 (12–56);                                       Heather Fernandez at (202) 551–6708;                  10295 (February 08, 2017) [82 FR 9680].
                                             —South Wind Service Manual Model 979–B1                 and in the Division of Economic and                      2 See Rule 301 of Regulation S–T (17 CFR
                                               Aircraft Heater, South Wind Division of                                                                     232.301).
                                               Stewart-Warner Corporation, (3–51);                   Risk Analysis, for questions concerning                  3 See Release No. 33–10295 in which we
                                             —Navion Model 977–B Installation Manual                 eXtensible Business Reporting Language                implemented EDGAR Release 17.0.2. For additional
                                               Section I, Section II, Section III, and               (XBRL), contact Walter Hamscher at                    history of Filer Manual rules, please see the
                                               Section IV.                                           (202) 551–5397.                                       citations therein.



                                        VerDate Sep<11>2014   14:25 Mar 30, 2017   Jkt 241001   PO 00000   Frm 00013   Fmt 4700   Sfmt 4700   E:\FR\FM\31MRR1.SGM   31MRR1


                                             15994               Federal Register / Vol. 82, No. 61 / Friday, March 31, 2017 / Rules and Regulations

                                             EDGAR Filing’’ will be retired. Two new                 provided to enable the following XBRL                 Procedure Act (APA).4 It follows that
                                             sections, ‘File Transfer Agent Forms’                   document Types to pass validation:                    the requirements of the Regulatory
                                             and ‘Completing a Transfer Agent Form’                     • EX–99.SDR K.INS (Traditional                     Flexibility Act 5 do not apply.
                                             will be added to the former Chapter 9                   XBRL).                                                   The effective date for the updated
                                             (new Chapter 8—Preparing and                               • EX–99.SDR L.INS (Traditional                     Filer Manual and the rule amendments
                                             Transmitting Online Submissions) of                     XBRL).                                                is March 31, 2017. In accordance with
                                             the ‘‘EDGAR Filer Manual, Volume II:                       • EX–99.SDR K (Inline XBRL).                       the APA,6 we find that there is good
                                             EDGAR Filing’’ to guide filers through                                                                        cause to establish an effective date less
                                                                                                        • EX–99.SDR L (Inline XBRL).
                                             the filing process.                                                                                           than 30 days after publication of these
                                                Filers can continue to construct XML                    Submission types N–MFP2 and N–                     rules. The EDGAR system upgrade to
                                             submissions as described in the XML                     MFP2/A will be updated to allow filers                Release 17.1 is scheduled to become
                                             Technical Specification documents for                   to choose both ‘‘Exempt Government’’                  available on March 13, 2017. The
                                             Transfer Agent forms, and submit them                   and ‘‘Treasury’’ as the category of the               Commission believes that establishing
                                             via the EDGAR Filing Web site.                          fund in Item A.10 of the form. For more               an effective date less than 30 days after
                                                EDGAR will be updated to allow filers                information, see the updated ‘‘EDGAR                  publication of these rules is necessary to
                                             to submit duplicate filings for                         Form N–MFP2 XML Technical                             coordinate the effectiveness of the
                                             submission form type 10–D. The 10–D                     Specification’’ document located on the               updated Filer Manual with these system
                                             distribution reports for ABS entities can               SEC’s Public Web site (https://                       upgrades.
                                             have multiple deals in which each deal                  www.sec.gov/info/edgar/tech-specs).
                                                                                                        Filers will now be able to upload the              Statutory Basis
                                             will report on the 10–D generating a CIK
                                             with multiple reports for the same                      notarized authentication document and                   We are adopting the amendments to
                                             period.                                                 the power of attorney as separate                     Regulation S–T under Sections 6, 7, 8,
                                                EDGAR will be upgraded to allow                      CORRESP documents when submitting                     10, and 19(a) of the Securities Act of
                                             filers to provide up to four digits after               a request to manually update their                    1933,7 Sections 3, 12, 13, 14, 15, 23, and
                                             the decimal point for the ‘‘Price per                   passphrase on the EDGAR Filer                         35A of the Securities Exchange Act of
                                             security’’ field for submission form                    Management Web site (https://www.filer                1934,8 Section 319 of the Trust
                                             types DOS, DOS/A, 1–A, 1–A/A, 1–A                       management.edgarfiling.sec.gov).                      Indenture Act of 1939,9 and Sections 8,
                                             POS, 1–K, 1–K/A, 1–Z, and 1–Z/A.                           On March 6, 2017, the EDGAR system                 30, 31, and 38 of the Investment
                                                EDGAR will be upgraded to include                    was upgraded to Release 17.0.3 and now                Company Act of 1940.10
                                             the following changes to ABS–EE and                     supports the US GAAP 2017 Taxonomy;                   List of Subjects in 17 CFR Part 232
                                             ABS–EE/A:                                               and updated SEC taxonomies
                                                • The restriction on future dates for                COUNTRY, CURRENCY, EXCH and                             Incorporation by reference, Reporting
                                             ABS–EE and ABS–EE/A in the ‘‘End                        NAICS. Please see https://www.sec.gov/                and recordkeeping requirements,
                                             Period Date’’ EDGAR Header Tag will be                  info/edgar/edgartaxonomies.shtml for a                Securities.
                                             removed.                                                complete listing of supported standard                Text of the Amendment
                                                • ABS–EE filings will be suspended if                taxonomies. Taxonomy Disclosure
                                             the EX–102 XML attachment fails                                                                                 In accordance with the foregoing,
                                                                                                     Templates have been made available to
                                             validation.                                                                                                   Title 17, Chapter II of the Code of
                                                                                                     be used as part of the filer’s extension
                                                • In addition, the ABS–EE Asset Data                                                                       Federal Regulations is amended as
                                                                                                     taxonomy based on examples in the
                                             schema will be updated with the                                                                               follows:
                                                                                                     Taxonomy Implementation Guides.
                                             following changes:                                      Please see Release Notes for US GAAP                  PART 232—REGULATION S–T—
                                                D Debt Securities ABS Asset Class:                   2017 for more details.                                GENERAL RULES AND REGULATIONS
                                             Item 5(d)(8) will be renamed to Actual                     Along with the adoption of the Filer               FOR ELECTRONIC FILINGS
                                             Interest Collection Amount.                             Manual, we are amending Rule 301 of
                                                D Filers will be able to provide future              Regulation S–T to provide for the                     ■ 1. The authority citation for Part 232
                                             dates through December 31, 2150 in                      incorporation by reference into the Code              continues to read in part as follows:
                                             response to Asset Class Items that                      of Federal Regulations of today’s                       Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 77j,
                                             require a date.                                         revisions. This incorporation by                      77s(a), 77z–3, 77sss(a), 78c(b), 78l, 78m, 78n,
                                                For more information, see the updated                                                                      78o(d), 78w(a), 78ll, 80a–6(c), 80a–8, 80a–29,
                                                                                                     reference was approved by the Director
                                             ‘‘EDGAR ABS XML Technical                                                                                     80a–30, 80a–37, and 7201 et seq.; and 18
                                                                                                     of the Federal Register in accordance
                                             Specification’’ document available on                                                                         U.S.C. 1350, unless otherwise noted.
                                                                                                     with 5 U.S.C. 552(a) and 1 CFR part 51.
                                             the SEC’s Public Web site (https://
                                             www.sec.gov/info/edgar/tech-specs).                        The updated EDGAR Filer Manual                     *     *     *    *     *
                                                Filers will be able to provide                       will be available for Web site viewing                ■ 2. Section 232.301 is revised to read
                                             underscores (‘‘_’’) in any portion of the               and printing; the address for the Filer               as follows:
                                             ‘‘Notification Email Address’’ and                      Manual is https://www.sec.gov/info/
                                                                                                     edgar/edmanuals.htm. You may also                     § 232.301      EDGAR Filer Manual.
                                             ‘‘Submission Contact Email Address’’
                                             fields within X–17A–5 and X–17A–5/A                     obtain paper copies of the EDGAR Filer                  Filers must prepare electronic filings
                                             submissions. In addition, all ASCII                     Manual from the following address:                    in the manner prescribed by the EDGAR
                                             character validations will be removed                   Public Reference Room, U.S. Securities                Filer Manual, promulgated by the
                                             for broker-dealer entity name fields for                and Exchange Commission, 100 F Street                 Commission, which sets out the
                                             submission form types X–17A–5 and X–                    NE., Washington, DC 20549, on official                technical formatting requirements for
                                             17A–5/A. Broker-dealers can submit the                  business days between the hours of
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                                             aforementioned filings, irrespective of                 10:00 a.m. and 3:00 p.m.                                  45  U.S.C. 553(b)(A).
                                                                                                                                                               55  U.S.C. 601–612.
                                             the ASCII characters in those fields.                      Since the Filer Manual and the                         6 5 U.S.C. 553(d)(3).
                                                Submission form types SDR, SDR/A,                    corresponding rule changes relate solely                  7 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
                                             SDR–A, and SDR–W will no longer                         to agency procedures or practice,                         8 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll.

                                             require the XBRL                                        publication for notice and comment is                     9 15 U.S.C. 77sss.

                                             dei:EntityFilerCategory element to be                   not required under the Administrative                     10 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37.




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                                                                 Federal Register / Vol. 82, No. 61 / Friday, March 31, 2017 / Rules and Regulations                                         15995

                                             electronic submissions. The                             event. The special local regulation is                that reason, it would be impracticable to
                                             requirements for becoming an EDGAR                      necessary to ensure the safety of race                publish an NPRM.
                                             Filer and updating company data are set                 participants, participant vessels,                      For the reason discussed above, under
                                             forth in the updated EDGAR Filer                        spectators, and the general public                    5 U.S.C. 553(d)(3), the Coast Guard finds
                                             Manual, Volume I: ‘‘General                             during the event. This regulation                     that good cause exists for making this
                                             Information,’’ Version 27 (March 2017).                 establishes three regulated areas: A race             rule effective less than 30 days after
                                             The requirements for filing on EDGAR                    area; a buffer zone; and a spectator area.            publication in the Federal Register.
                                             are set forth in the updated EDGAR Filer                This special local regulation prohibits               III. Legal Authority and Need for Rule
                                             Manual, Volume II: ‘‘EDGAR Filing,’’                    non-participant persons and vessels
                                             Version 41 (March 2017). All of these                   from entering, transiting through,                       The legal basis for this rule is the
                                             provisions have been incorporated by                    anchoring in, or remaining within the                 Coast Guard’s authority to establish
                                             reference into the Code of Federal                      race area or buffer zone and prohibits                special local regulations is 33 U.S.C.
                                             Regulations, which action was approved                  vessels from transiting at speeds that                1233. The purpose of the rule is to
                                             by the Director of the Federal Register                 cause wake within the spectator area                  ensure safety of the event participants,
                                             in accordance with 5 U.S.C. 552(a) and                  unless authorized by the Captain of the               the general public, and the navigable
                                             1 CFR part 51. You must comply with                     Port San Juan or a designated                         waters of San Juan Harbor in the
                                             these requirements in order for                         representative.                                       vicinity of San Juan, Puerto Rico during
                                             documents to be timely received and                                                                           the 2017 Cataño Offshore race event.
                                                                                                     DATES: This rule is effective from 11:00
                                             accepted. The EDGAR Filer Manual is                     a.m. through 4 p.m. on April 2, 2017.                 IV. Discussion of the Rule
                                             available for Web site viewing and
                                             printing; the address for the Filer                     ADDRESSES: To view documents                             This rule establishes a special local
                                             Manual is https://www.sec.gov/info/                     mentioned in this preamble as being                   regulation on certain waters of San Juan
                                             edgar/edmanuals.htm. You can obtain                     available in the docket, go to http://                Harbor in San Juan, Puerto Rico during
                                             paper copies of the EDGAR Filer                         www.regulations.gov, type USCG–2017–                  the 2017 Cataño Offshore race event.
                                             Manual from the following address:                      0255 in the ‘‘SEARCH’’ box and click                  The race is scheduled to take place from
                                             Public Reference Room, U.S. Securities                  ‘‘SEARCH.’’ Click on Open Docket                      11 a.m. to 4 p.m. on April 2, 2017.
                                             and Exchange Commission, 100 F Street                   Folder on the line associated with this               Approximately 30 high-speed boats and
                                             NE., Washington, DC 20549, on official                  rule.                                                 personal watercraft are expected to
                                             business days between the hours of                      FOR FURTHER INFORMATION CONTACT: If                   participate in the race. The special local
                                             10:00 a.m. and 3:00 p.m. You can also                   you have questions on this rule, call or              regulation will create three regulated
                                             inspect the document at the National                    email Mr. Efrain Lopez, Sector San Juan               areas: (1) A race area; (2) a buffer zone;
                                             Archives and Records Administration                     Prevention Department, Coast Guard;                   and (3) a spectator area. Within the race
                                             (NARA). For information on the                          telephone (787) 289–2097, email                       area and buffer zone, non-participant
                                             availability of this material at NARA,                  Efrain.Lopez1@uscg.mil.                               persons and vessels are prohibited from
                                             call 202–741–6030, or go to: http://                    SUPPLEMENTARY INFORMATION:
                                                                                                                                                           entering, transiting through, anchoring
                                             www.archives.gov/federal_register/                                                                            in, or remaining within the regulated
                                                                                                     I. Table of Abbreviations                             area without obtaining permission from
                                             code_of_federal_regulations/ibr_
                                             locations.html.                                         CFR Code of Federal Regulations                       the COTP San Juan or a designated
                                                                                                     DHS Department of Homeland Security                   representative. Within the spectator
                                               By the Commission.                                    FR Federal Register                                   area, all persons and vessels are
                                               Dated: March 13, 2017.                                NPRM Notice of proposed rulemaking                    prohibited from traveling in excess of
                                             Brent J. Fields,                                        § Section                                             wake speed without obtaining
                                             Secretary.                                              U.S.C. United States Code                             permission from the COTP San Juan or
                                                                                                     COTP Captain of the Port                              a designated representative. If
                                             [FR Doc. 2017–06290 Filed 3–30–17; 8:45 am]
                                             BILLING CODE 8011–01–P                                  II. Background Information and                        authorization is granted by the COTP
                                                                                                     Regulatory History                                    San Juan or a designated representative,
                                                                                                                                                           all persons and vessels receiving such
                                                                                                        The Coast Guard is issuing this                    authorization must comply with the
                                             DEPARTMENT OF HOMELAND                                  temporary rule without prior notice and
                                             SECURITY                                                                                                      instructions of the COTP San Juan or a
                                                                                                     opportunity to comment pursuant to                    designated representative. The Coast
                                                                                                     authority under section 4(a) of the                   Guard will provide notice of the
                                             Coast Guard                                             Administrative Procedure Act (APA) (5                 regulated areas by Local Notice to
                                                                                                     U.S.C. 553(b)). This provision                        Mariners, Broadcast Notice to Mariners,
                                             33 CFR Part 100                                         authorizes an agency to issue a rule                  or by on-scene designated
                                             [Docket Number USCG–2017–0255]                          without prior notice and opportunity to               representatives.
                                                                                                     comment when the agency for good
                                             RIN 1625–AA08                                           cause finds that those procedures are                 V. Regulatory Analyses
                                                                                                     ‘‘impracticable, unnecessary, or contrary               We developed this rule after
                                             Special Local Regulation, 2017 Cataño
                                                                                                     to the public interest.’’ Under 5 U.S.C.              considering numerous statutes and
                                             Offshore, San Juan Harbor, San Juan,
                                                                                                     553(b)(B), the Coast Guard finds that                 Executive Orders related to rulemaking.
                                             PR
                                                                                                     good cause exists for not publishing a                Below we summarize our analyses
                                             AGENCY:    Coast Guard, DHS.                            notice of proposed rulemaking (NPRM)                  based on a number of these statutes and
                                                                                                     with respect to this rule because the
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                                             ACTION:   Temporary final rule.                                                                               Executive Orders, and we discuss First
                                                                                                     Coast Guard did not receive the required              Amendment rights of protestors.
                                             SUMMARY:   The Coast Guard is                           event documentation until March 22,
                                             establishing a special local regulation on              2017, leaving insufficient time before                A. Regulatory Planning and Review
                                             the waters of San Juan Harbor in San                    the event to publish an NPRM and to                     E.O.s 12866 (‘‘Regulatory Planning
                                             Juan, Puerto Rico during the 2017                       receive public comment in order to                    and Review’’) and 13563 (‘‘Improving
                                             Cataño Offshore, a high-speed race                     complete the rulemaking process. For                  Regulation and Regulatory Review’’)


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Document Created: 2017-03-31 01:37:32
Document Modified: 2017-03-31 01:37:32
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionRules and Regulations
ActionFinal rule.
DatesEffective March 31, 2017. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of March 31, 2017.
ContactIn the Division of Corporation Finance, for questions concerning Form ABS-EE and Regulation A submission form types, contact Vik Sheth at (202) 551-3818; in the Division of Trading and Markets, for questions concerning Form TA and Form X-17A-5, contact Kathy Bateman at (202) 551-4345; in the Office of Investment Management, for questions concerning Form N-MFP, contact Heather Fernandez at (202) 551-6708; and in the Division of Economic and Risk Analysis, for questions concerning eXtensible Business Reporting Language (XBRL), contact Walter Hamscher at (202) 551-5397.
FR Citation82 FR 15993 
CFR AssociatedIncorporation by Reference; Reporting and Recordkeeping Requirements and Securities

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