82_FR_45622 82 FR 45434 - Adoption of Updated EDGAR Filer Manual

82 FR 45434 - Adoption of Updated EDGAR Filer Manual

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 188 (September 29, 2017)

Page Range45434-45436
FR Document2017-20654

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 EDGAR system is scheduled to be upgraded on September 11, 2017.

Federal Register, Volume 82 Issue 188 (Friday, September 29, 2017)
[Federal Register Volume 82, Number 188 (Friday, September 29, 2017)]
[Rules and Regulations]
[Pages 45434-45436]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-20654]


=======================================================================
-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 232

[Release Nos. 33-10413; 34-81592; 39-2518; IC-32818]


Adoption of Updated EDGAR Filer Manual

AGENCY: Securities and Exchange Commission.

ACTION: Final rule.

-----------------------------------------------------------------------

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 EDGAR system is scheduled to be 
upgraded on September 11, 2017.

DATES: Effective September 29, 2017, except that amendatory instruction 
4 to Sec.  232.301 is effective June 1, 2018. The incorporation by 
reference of the EDGAR Filer Manual is approved by the Director of the 
Federal Register as of September 29, 2017.

FOR FURTHER INFORMATION CONTACT: In the Division of Investment 
Management, for questions concerning Forms N-PORT and N-CEN, contact 
Heather Fernandez at (202) 551-6708; in the Division of Corporation 
Finance, for questions concerning Forms S-1, S-3, S-4, S-8, S-11, F-1, 
F-3, F-4, 8-K, 10, 10-K, 10-Q, 20-F, and 40-F, contact Heather 
Mackintosh at (202) 551-8111; in the Office of Financial Management, 
for questions about negative account balances, contact Andrew Grimaldi 
at (202) 551-7304.

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.
---------------------------------------------------------------------------

    \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 July 17, 2017. See Release No. 33-10385 (July 6, 
2017) [82 FR 35062].
---------------------------------------------------------------------------

    The revisions to the Filer Manual reflect changes within Volume I, 
entitled EDGAR Filer Manual, Volume I: ``General Information,'' Version 
29 (September 2017), and Volume II, entitled EDGAR Filer Manual, Volume 
II: ``EDGAR Filing,'' Version 43 (September 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\
---------------------------------------------------------------------------

    \2\ See Rule 301 of Regulation S-T (17 CFR 232.301).
    \3\ See Release No. 33-10385 in which we implemented revisions 
to reflect EDGAR Release 17.2. For additional history of EDGAR Filer 
Manual revisions, please see the citations therein.
---------------------------------------------------------------------------

    The EDGAR system will be upgraded to Release 17.3 on September 11, 
2017, and will introduce the following changes:
    In Release No. 33-10231 (October 13, 2016) [81 FR 81870], the 
Commission adopted changes to the reporting requirements for investment 
companies. Among the changes was the adoption of Form N-PORT, which 
requires investment companies to report information about portfolio 
holdings monthly in a structured format. EDGAR Release 17.3 will 
provide a pilot program whereby filers may submit TEST versions of the 
following form types:
     Public Monthly Portfolio Investments Report on Form N-PORT 
(NPORT-P).
     Amended Public Monthly Portfolio Investments Report on 
Form N-PORT (NPORT-P/A).
     Non-Public Monthly Portfolio Investments Report on Form N-
PORT (NPORT-NP).
     Amended Non-Public Monthly Portfolio Investments Report on 
Form N-PORT (NPORT-NP/A).

[[Page 45435]]

     Portfolio Holdings Exhibit to Form N-PORT (NPORT-EX).
     Amended Portfolio Holdings Exhibit to Form N-PORT (NPORT- 
EX/A).
    In Release No. 33-10231 the Commission also adopted new Form N-CEN, 
which will require investment companies, other than face amount 
certificate companies, to provide an annual report of census-type 
information in a structured format. EDGAR Release 17.3 will permit 
investment companies to submit TEST versions of the following form 
types:
     Annual Report for Registered Investment Companies (N-CEN).
     Amendment to Annual Report for Registered Investment 
Companies (N-CEN/A).
     EDGAR Release 17.3 will also introduce two additional 
submission form types:
     Notice under Exchange Act Rule 12b-25 of the inability to 
timely file Form N-CEN (NT-NCEN).
     Amendment to Notice under Exchange Act Rule 12b-25 of the 
inability to timely file Form N-CEN (NT-NCEN/A).
    EDGAR will only accept TEST submissions of form types NPORT-P, 
NPORT-P/A, NPORT-NP, NPORT- NP/A, NPORT-EX, NPORT-EX/A, N-CEN, and N-
CEN/A from September 11, 2017, through December 31, 2017, and then 
again from March 1, 2018 until May 31, 2018. Beginning June 1, 2018, 
EDGAR will accept both TEST and LIVE submissions of form types NPORT-P, 
NPORT-P/A, NPORT-NP, NPORT- NP/A, NPORT-EX, NPORT-EX/A, N-CEN, and N-
CEN/A. The EDGAR Filer Manual will be revised to provide instructions 
for making TEST N-PORT and N-CEN filings. Corresponding changes will be 
made to Chapter 8 (Preparing and Transmitting Online Submissions) of 
the EDGAR Filer Manual, Volume II: ``EDGAR Filing.''
    In Release No. 33-10332 (March 31, 2017) [82 FR 17545] the 
Commission made rule and form changes to effectuate inflation 
adjustments and other technical amendments required under Titles I & 
III of the JOBS Act. Among the technical changes was the revision to 
Commission forms so that registrants can designate whether they are an 
Emerging Growth Company and whether they have elected not to use the 
extended transition period for complying with any new or revised 
financial accounting standards.
    Updates are being made in EDGAR Release 17.3 so that the same 
disclosures can be provided for any co-registrants. The following 
EDGARLink Online submission form types will be revised to reflect the 
two fields for each co-registrant: S-1, S-1/A, S-3, S-3/A, S-4, S-4/A, 
S-8, S-11, S-11/A, F-1, F-1/A, F-3, F-3/A, F-4, F-4/A, 10-12B, 10-12B/
A, 10-12G, 10-12G/A, 8-K, 8-K/A, 8-K12B, 8-K12B/A, 8-K12G3, 8-K12G3/A, 
8-K15D5, 8-K15D5/A, 10-Q, 10-Q/A, 10-QT, 10-QT/A, 10-K, 10-K/A, 10-KT, 
10-KT/A, 20-F, 20-F/A, 20FR12B, 20FR12B/A, 20FR12G, 20FR12G/A, 40-F, 
40-F/A, 40FR12B, 40FR12B/A, 40FR12G, and 40FR12G/A. Corresponding 
changes will be made to Chapter 7 (Preparing and Transmitting EDGARLink 
Online Submissions) of the EDGAR Filer Manual, Volume II: ``EDGAR 
Filing.''
    The ``Balance Information'' and ``Account Activity Statement'' 
screen of the EDGAR Filing Web site will be updated with the following 
text: ``A negative balance amount indicates that money is owed to the 
SEC and the account is past due. For more information on making filing 
fee payments, see https://www.sec.gov/paymentoptions.'' Corresponding 
changes will be made to Chapter 5 (Maintenance of Company Data) of the 
EDGAR Filer Manual Volume I: ``General Information.''
    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 
a.m. and 3 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.
---------------------------------------------------------------------------

    \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 September 29, 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 17.3 is scheduled to become available on September 11, 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\
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

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. The amendment to Sec.  232.301 published November 18, 2016 (81 FR 
82019) is withdrawn.

0
3. Effective September 29, 2017, Sec.  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 fort 
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 29 (September 2017). The requirements for filing 
on EDGAR are set forth in the updated

[[Page 45436]]

EDGAR Filer Manual, Volume II: ``EDGAR Filing,'' Version 43 (September 
2017). Additional provisions applicable to Form N-SAR filers are set 
forth in the EDGAR Filer Manual, Volume III: ``N-SAR Supplement,'' 
Version 6 (January 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: https://www.archives.gov/federal-register/cfr/ibr-locations.html.


Sec.  232.301  [Amended]

0
4. Effective June 1, 2018, amend Sec.  232.301 by removing the fourth 
sentence.

    By the Commission.

    Dated: September 13, 2017.
Brent J. Fields,
Secretary.
[FR Doc. 2017-20654 Filed 9-28-17; 8:45 am]
BILLING CODE 8011-01-P



                                                  45434               Federal Register / Vol. 82, No. 188 / Friday, September 29, 2017 / Rules and Regulations

                                                  make this rulemaking effective upon                           Issued in Washington, DC, on September              formatting requirements for the
                                                  publication in the Federal Register.1                       26, 2017, by the Commission.                          preparation and submission of
                                                                                                              Christopher J. Kirkpatrick,                           electronic filings through the EDGAR
                                                  III. Paperwork Reduction Act                                Secretary of the Commission.                          system.1 It also describes the
                                                    The Commission may not conduct or                                                                               requirements for filing using
                                                                                                                Note: The following appendix will not
                                                  sponsor, and a respondent is not                            appear in the Code of Federal Regulations.            EDGARLink Online and the Online
                                                  required to respond to, a collection of                                                                           Forms/XML Web site.
                                                  information contained in a rulemaking                       Appendix to Commission Delegated                         The revisions to the Filer Manual
                                                  unless the information collection                           Authority Provisions for Designated                   reflect changes within Volume I,
                                                  displays a currently valid control                          Contract Markets’ System Safeguards                   entitled EDGAR Filer Manual, Volume I:
                                                  number issued by the Office of                              Requirements—Commission Voting                        ‘‘General Information,’’ Version 29
                                                  Management and Budget (‘‘OMB’’)                             Summary                                               (September 2017), and Volume II,
                                                  pursuant to the Paperwork Reduction                                                                               entitled EDGAR Filer Manual, Volume
                                                                                                                On this matter, Chairman Giancarlo and              II: ‘‘EDGAR Filing,’’ Version 43
                                                  Act.2 This rulemaking contains no                           Commissioners Bowen, Quintenz, and                    (September 2017). The updated manual
                                                  collection of information for which the                     Behnam voted in the affirmative. No
                                                                                                                                                                    will be incorporated by reference into
                                                  Commission is obligated to obtain a                         Commissioner voted in the negative.
                                                                                                                                                                    the Code of Federal Regulations.
                                                  control number from OMB.                                    [FR Doc. 2017–20924 Filed 9–28–17; 8:45 am]              The Filer Manual contains all the
                                                  List of Subjects in 17 CFR Part 38                          BILLING CODE 6351–01–P                                technical specifications for filers to
                                                                                                                                                                    submit filings using the EDGAR system.
                                                    Commodity futures, Reporting and                                                                                Filers must comply with the applicable
                                                  recordkeeping requirements.                                 SECURITIES AND EXCHANGE                               provisions of the Filer Manual in order
                                                    For the reasons stated in the                             COMMISSION                                            to assure the timely acceptance and
                                                  preamble, the Commodity Futures                                                                                   processing of filings made in electronic
                                                                                                              17 CFR Part 232                                       format.2 Filers may consult the Filer
                                                  Trading Commission amends 17 CFR
                                                  part 38 as follows:                                         [Release Nos. 33–10413; 34–81592; 39–                 Manual in conjunction with our rules
                                                                                                              2518; IC–32818]                                       governing mandated electronic filing
                                                  PART 38—DESIGNATED CONTRACT                                                                                       when preparing documents for
                                                  MARKETS                                                     Adoption of Updated EDGAR Filer                       electronic submission.3
                                                                                                              Manual                                                   The EDGAR system will be upgraded
                                                  ■ 1. The authority citation for part 38                     AGENCY:  Securities and Exchange                      to Release 17.3 on September 11, 2017,
                                                  continues to read as follows:                               Commission.                                           and will introduce the following
                                                                                                                                                                    changes:
                                                    Authority: 7 U.S.C. 1a, 2, 6, 6a, 6c, 6d, 6e,             ACTION: Final rule.                                      In Release No. 33–10231 (October 13,
                                                  6f, 6g, 6i, 6j, 6k, 6l, 6m, 6n, 7, 7a–2, 7b,                                                                      2016) [81 FR 81870], the Commission
                                                  7b–1, 7b–3, 8, 9, 15, and 21, as amended by                 SUMMARY:   The Securities and Exchange
                                                                                                              Commission (the ‘‘Commission’’) is                    adopted changes to the reporting
                                                  the Dodd-Frank Wall Street Reform and
                                                                                                              adopting revisions to the Electronic Data             requirements for investment companies.
                                                  Consumer Protection Act, Pub. L. 111–203,
                                                  124 Stat. 1376.                                             Gathering, Analysis, and Retrieval                    Among the changes was the adoption of
                                                                                                              System (‘‘EDGAR’’) Filer Manual and                   Form N–PORT, which requires
                                                  ■ 2. In § 38.1051, add paragraph (n)(3)                     related rules to reflect updates to the               investment companies to report
                                                  to read as follows:                                         EDGAR system. The EDGAR system is                     information about portfolio holdings
                                                                                                              scheduled to be upgraded on September                 monthly in a structured format. EDGAR
                                                  § 38.1051        General requirements.                                                                            Release 17.3 will provide a pilot
                                                                                                              11, 2017.
                                                  *     *     *     *    *                                    DATES: Effective September 29, 2017,
                                                                                                                                                                    program whereby filers may submit
                                                    (n) * * *                                                 except that amendatory instruction 4 to               TEST versions of the following form
                                                                                                              § 232.301 is effective June 1, 2018. The              types:
                                                    (3) Delegation of authority. The                                                                                   • Public Monthly Portfolio
                                                  Commission hereby delegates, until it                       incorporation by reference of the
                                                                                                                                                                    Investments Report on Form N–PORT
                                                  orders otherwise, to the Director of the                    EDGAR Filer Manual is approved by the
                                                                                                                                                                    (NPORT–P).
                                                  Division of Market Oversight or such                        Director of the Federal Register as of                   • Amended Public Monthly Portfolio
                                                  other employee or employees as the                          September 29, 2017.                                   Investments Report on Form N–PORT
                                                  Director may designate from time to                         FOR FURTHER INFORMATION CONTACT: In                   (NPORT–P/A).
                                                  time, the authority to provide each                         the Division of Investment Management,                   • Non-Public Monthly Portfolio
                                                  designated contract market with its                         for questions concerning Forms N–                     Investments Report on Form N–PORT
                                                  percentage of the total annual trading                      PORT and N–CEN, contact Heather                       (NPORT–NP).
                                                  volume of all designated contract                           Fernandez at (202) 551–6708; in the                      • Amended Non-Public Monthly
                                                  markets regulated by the Commission,                        Division of Corporation Finance, for                  Portfolio Investments Report on Form
                                                  as set forth in paragraph (n)(2) of this                    questions concerning Forms S–1, S–3,                  N–PORT (NPORT–NP/A).
                                                  section. The Director of the Division of                    S–4, S–8, S–11, F–1, F–3, F–4, 8–K, 10,
                                                  Market Oversight may submit to the                          10–K, 10–Q, 20–F, and 40–F, contact                      1 We originally adopted the Filer Manual on April

                                                  Commission for its consideration any                        Heather Mackintosh at (202) 551–8111;                 1, 1993, with an effective date of April 26, 1993.
asabaliauskas on DSKBBXCHB2PROD with RULES




                                                                                                              in the Office of Financial Management,                Release No. 33–6986 (April 1, 1993) [58 FR 18638].
                                                  matter that has been delegated pursuant                                                                           We implemented the most recent update to the Filer
                                                  to this section. Nothing in this section                    for questions about negative account                  Manual on July 17, 2017. See Release No. 33–10385
                                                  prohibits the Commission, at its                            balances, contact Andrew Grimaldi at                  (July 6, 2017) [82 FR 35062].
                                                  election, from exercising the authority                     (202) 551–7304.                                          2 See Rule 301 of Regulation S–T (17 CFR

                                                  delegated in this section.                                  SUPPLEMENTARY INFORMATION: We are                     232.301).
                                                                                                                                                                       3 See Release No. 33–10385 in which we
                                                                                                              adopting an updated EDGAR Filer                       implemented revisions to reflect EDGAR Release
                                                      15   U.S.C. 553(d).                                     Manual, Volume I and Volume II. The                   17.2. For additional history of EDGAR Filer Manual
                                                      2 44  U.S.C. 3501 et seq.                               Filer Manual describes the technical                  revisions, please see the citations therein.



                                             VerDate Sep<11>2014       16:55 Sep 28, 2017   Jkt 241001   PO 00000   Frm 00014   Fmt 4700   Sfmt 4700   E:\FR\FM\29SER1.SGM   29SER1


                                                                   Federal Register / Vol. 82, No. 188 / Friday, September 29, 2017 / Rules and Regulations                                                   45435

                                                     • Portfolio Holdings Exhibit to Form                 revised to reflect the two fields for each             less than 30 days after publication of
                                                  N–PORT (NPORT–EX).                                      co-registrant: S–1, S–1/A, S–3, S–3/A,                 these rules. The EDGAR system upgrade
                                                     • Amended Portfolio Holdings                         S–4, S–4/A, S–8, S–11, S–11/A, F–1,                    to Release 17.3 is scheduled to become
                                                  Exhibit to Form N–PORT (NPORT–                          F–1/A, F–3, F–3/A, F–4, F–4/A, 10–12B,                 available on September 11, 2017. The
                                                  EX/A).                                                  10–12B/A, 10–12G, 10–12G/A, 8–K,                       Commission believes that establishing
                                                     In Release No. 33–10231 the                          8–K/A, 8–K12B, 8–K12B/A, 8–K12G3,                      an effective date less than 30 days after
                                                  Commission also adopted new Form                        8–K12G3/A, 8–K15D5, 8–K15D5/A,                         publication of these rules is necessary to
                                                  N–CEN, which will require investment                    10–Q, 10–Q/A, 10–QT, 10–QT/A, 10–K,                    coordinate the effectiveness of the
                                                  companies, other than face amount                       10–K/A, 10–KT, 10–KT/A, 20–F, 20–F/                    updated Filer Manual with these system
                                                  certificate companies, to provide an                    A, 20FR12B, 20FR12B/A, 20FR12G,                        upgrades.
                                                  annual report of census-type                            20FR12G/A, 40–F, 40–F/A, 40FR12B,
                                                  information in a structured format.                     40FR12B/A, 40FR12G, and 40FR12G/A.                     Statutory Basis
                                                  EDGAR Release 17.3 will permit                          Corresponding changes will be made to                    We are adopting the amendments to
                                                  investment companies to submit TEST                     Chapter 7 (Preparing and Transmitting                  Regulation S–T under Sections 6, 7, 8,
                                                  versions of the following form types:                   EDGARLink Online Submissions) of the                   10, and 19(a) of the Securities Act of
                                                     • Annual Report for Registered                       EDGAR Filer Manual, Volume II:                         1933,7 Sections 3, 12, 13, 14, 15, 23, and
                                                  Investment Companies (N–CEN).                           ‘‘EDGAR Filing.’’                                      35A of the Securities Exchange Act of
                                                     • Amendment to Annual Report for                        The ‘‘Balance Information’’ and                     1934,8 Section 319 of the Trust
                                                  Registered Investment Companies                         ‘‘Account Activity Statement’’ screen of               Indenture Act of 1939,9 and Sections 8,
                                                  (N–CEN/A).                                              the EDGAR Filing Web site will be                      30, 31, and 38 of the Investment
                                                     • EDGAR Release 17.3 will also                       updated with the following text: ‘‘A                   Company Act of 1940.10
                                                  introduce two additional submission                     negative balance amount indicates that
                                                  form types:                                             money is owed to the SEC and the                       List of Subjects in 17 CFR Part 232
                                                     • Notice under Exchange Act Rule                     account is past due. For more                            Incorporation by reference, Reporting
                                                  12b–25 of the inability to timely file                  information on making filing fee                       and recordkeeping requirements,
                                                  Form N–CEN (NT–NCEN).                                   payments, see https://www.sec.gov/                     Securities.
                                                     • Amendment to Notice under                          paymentoptions.’’ Corresponding
                                                  Exchange Act Rule 12b–25 of the                                                                                Text of the Amendment
                                                                                                          changes will be made to Chapter 5
                                                  inability to timely file Form N–CEN                     (Maintenance of Company Data) of the                     In accordance with the foregoing, title
                                                  (NT–NCEN/A).                                            EDGAR Filer Manual Volume I:                           17, chapter II of the Code of Federal
                                                     EDGAR will only accept TEST                          ‘‘General Information.’’                               Regulations is amended as follows:
                                                  submissions of form types NPORT–P,                         Along with the adoption of the Filer
                                                  NPORT–P/A, NPORT–NP, NPORT–                             Manual, we are amending Rule 301 of                    PART 232—REGULATION S–T—
                                                  NP/A, NPORT–EX, NPORT–EX/A, N–                          Regulation S–T to provide for the                      GENERAL RULES AND REGULATIONS
                                                  CEN, and N–CEN/A from September 11,                     incorporation by reference into the Code               FOR ELECTRONIC FILINGS
                                                  2017, through December 31, 2017, and                    of Federal Regulations of today’s
                                                  then again from March 1, 2018 until                     revisions. This incorporation by                       ■ 1. The authority citation for part 232
                                                  May 31, 2018. Beginning June 1, 2018,                   reference was approved by the Director                 continues to read in part as follows:
                                                  EDGAR will accept both TEST and LIVE                    of the Federal Register in accordance                    Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 77j,
                                                  submissions of form types NPORT–P,                      with 5 U.S.C. 552(a) and 1 CFR part 51.                77s(a), 77z–3, 77sss(a), 78c(b), 78l, 78m, 78n,
                                                  NPORT–P/A, NPORT–NP, NPORT–                                The updated EDGAR Filer Manual                      78o(d), 78w(a), 78ll, 80a–6(c), 80a–8, 80a–29,
                                                  NP/A, NPORT–EX, NPORT–EX/A, N–                          will be available for Web site viewing                 80a–30, 80a–37, and 7201 et seq.; and 18
                                                  CEN, and N–CEN/A. The EDGAR Filer                       and printing; the address for the Filer                U.S.C. 1350, unless otherwise noted.
                                                  Manual will be revised to provide                       Manual is https://www.sec.gov/info/                    *     *     *     *    *
                                                  instructions for making TEST N–PORT                     edgar/edmanuals.htm. You may also                      ■ 2. The amendment to § 232.301
                                                  and N–CEN filings. Corresponding                        obtain paper copies of the EDGAR Filer                 published November 18, 2016 (81 FR
                                                  changes will be made to Chapter 8                       Manual from the following address:                     82019) is withdrawn.
                                                  (Preparing and Transmitting Online                      Public Reference Room, U.S. Securities                 ■ 3. Effective September 29, 2017,
                                                  Submissions) of the EDGAR Filer                         and Exchange Commission, 100 F Street                  § 232.301 is revised to read as follows:
                                                  Manual, Volume II: ‘‘EDGAR Filing.’’                    NE., Washington, DC 20549, on official
                                                     In Release No. 33–10332 (March 31,                   business days between the hours of 10                  § 232.301      EDGAR Filer Manual.
                                                  2017) [82 FR 17545] the Commission                      a.m. and 3 p.m.                                          Filers must prepare electronic filings
                                                  made rule and form changes to                              Since the Filer Manual and the                      in the manner prescribed by the EDGAR
                                                  effectuate inflation adjustments and                    corresponding rule changes relate solely               Filer Manual, promulgated by the
                                                  other technical amendments required                     to agency procedures or practice,                      Commission, which sets fort the
                                                  under Titles I & III of the JOBS Act.                   publication for notice and comment is                  technical formatting requirements for
                                                  Among the technical changes was the                     not required under the Administrative                  electronic submissions. The
                                                  revision to Commission forms so that                    Procedure Act (‘‘APA’’).4 It follows that              requirements for becoming an EDGAR
                                                  registrants can designate whether they                  the requirements of the Regulatory                     Filer and updating company data are set
                                                  are an Emerging Growth Company and                      Flexibility Act 5 do not apply.                        forth in the updated EDGAR Filer
                                                  whether they have elected not to use the                   The effective date for the updated                  Manual, Volume I: ‘‘General
asabaliauskas on DSKBBXCHB2PROD with RULES




                                                  extended transition period for                          Filer Manual and the rule amendments                   Information,’’ Version 29 (September
                                                  complying with any new or revised                       is September 29, 2017. In accordance                   2017). The requirements for filing on
                                                  financial accounting standards.                         with the APA,6 we find that there is                   EDGAR are set forth in the updated
                                                     Updates are being made in EDGAR                      good cause to establish an effective date
                                                  Release 17.3 so that the same                                                                                      7 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
                                                  disclosures can be provided for any co-                   45  U.S.C. 553(b)(A).                                    8 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll.
                                                  registrants. The following EDGARLink                      5 5 U.S.C. 601–612.                                      9 15 U.S.C. 77sss.

                                                  Online submission form types will be                      6 5 U.S.C. 553(d)(3).                                    10 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37.




                                             VerDate Sep<11>2014   16:55 Sep 28, 2017   Jkt 241001   PO 00000    Frm 00015   Fmt 4700   Sfmt 4700   E:\FR\FM\29SER1.SGM     29SER1


                                                  45436            Federal Register / Vol. 82, No. 188 / Friday, September 29, 2017 / Rules and Regulations

                                                  EDGAR Filer Manual, Volume II:                          e]isoquinoline-6-carboxamide)                         of all relevant data by the DEA. This
                                                  ‘‘EDGAR Filing,’’ Version 43 (September                 including its salts from the schedules of             action removes the regulatory controls
                                                  2017). Additional provisions applicable                 the Controlled Substances Act. Prior to               and administrative, civil, and criminal
                                                  to Form N–SAR filers are set forth in the               the effective date of this rule,                      sanctions applicable to controlled
                                                  EDGAR Filer Manual, Volume III: ‘‘N–                    naldemedine was a schedule II                         substances, including those specific to
                                                  SAR Supplement,’’ Version 6 (January                    controlled substance because it can be                schedule II controlled substances, on
                                                  2017). All of these provisions have been                derived from opium alkaloids. This                    persons who handle or propose to
                                                  incorporated by reference into the Code                 action removes the regulatory controls                handle naldemedine.
                                                  of Federal Regulations, which action                    and administrative, civil, and criminal
                                                                                                                                                                Background
                                                  was approved by the Director of the                     sanctions applicable to controlled
                                                  Federal Register in accordance with 5                   substances, including those specific to                  Naldemedine, known chemically as
                                                  U.S.C. 552(a) and 1 CFR part 51. You                    schedule II controlled substances, on                 (4R,4aS,7aR,12bS)-3-
                                                  must comply with these requirements in                  persons who handle (manufacture,                      (cyclopropylmethyl)-4a,7,9-trihydroxy-
                                                  order for documents to be timely                        distribute, reverse distribute, dispense,             N-(2-(3-phenyl-1,2,4-oxadiazol-5-
                                                  received and accepted. The EDGAR                        conduct research, import, export, or                  yl)propan-2-yl)-2,3,4,4a,5,7a-hexahydro-
                                                  Filer Manual is available for Web site                  conduct chemical analysis) or propose                 1H-4,12-methanobenzofuro[3,2-
                                                  viewing and printing; the address for                   to handle naldemedine.                                e]isoquinoline-6-carboxamide, is an
                                                  the Filer Manual is https://www.sec.gov/                DATES: The effective date of this rule is             opium alkaloid derivative. Naldemedine
                                                  info/edgar/edmanuals.htm. You can                       September 29, 2017.                                   is a high-affinity antagonist at the mu,
                                                  obtain paper copies of the EDGAR Filer                                                                        kappa, and delta opioid receptors. On
                                                                                                          FOR FURTHER INFORMATION CONTACT:
                                                  Manual from the following address:                                                                            March 23, 2016, a new drug application
                                                                                                          Michael J. Lewis, Diversion Control
                                                  Public Reference Room, U.S. Securities                                                                        (NDA) was submitted by Shionogi Inc.
                                                                                                          Division, Drug Enforcement
                                                  and Exchange Commission, 100 F Street                                                                         (Sponsor) to the Food and Drug
                                                                                                          Administration; Mailing Address: 8701
                                                  NE., Washington, DC 20549, on official                                                                        Administration (FDA) for approval of
                                                                                                          Morrissette Drive, Springfield, Virginia
                                                  business days between the hours of                                                                            naldemedine for the treatment of opioid
                                                                                                          22152; Telephone: (202) 598–6812.
                                                  10:00 a.m. and 3:00 p.m. You can also                                                                         induced constipation in patients with
                                                                                                          SUPPLEMENTARY INFORMATION:
                                                  inspect the document at the National                                                                          chronic non-cancer pain. The FDA
                                                  Archives and Records Administration                     Legal Authority                                       approved naldemedine for marketing on
                                                  (NARA). For information on the                                                                                March 23, 2017, under the trade name
                                                                                                             Pursuant to 21 U.S.C. 811(a)(2), the
                                                  availability of this material at NARA,                                                                        Symproic® (0.2 mg tablets).2
                                                                                                          Attorney General may, by rule, ‘‘remove
                                                  call 202–741–6030, or go to: https://                                                                         Naldemedine is indicated for the
                                                                                                          any drug or other substance from the
                                                  www.archives.gov/federal-register/cfr/                                                                        treatment of opioid-induced
                                                                                                          schedules if he finds that the drug or
                                                  ibr-locations.html.                                                                                           constipation (OIC) in adults with
                                                                                                          other substance does not meet the
                                                                                                                                                                chronic non-cancer pain. Opioid-
                                                  § 232.301   [Amended]                                   requirements for inclusion in any
                                                                                                                                                                induced constipation is caused by an
                                                                                                          schedule.’’ The Attorney General has
                                                  ■ 4. Effective June 1, 2018, amend                                                                            activation of mu-opioid receptors in the
                                                                                                          delegated scheduling authority under 21
                                                  § 232.301 by removing the fourth                                                                              gastrointestinal tract. Naldemedine, a
                                                                                                          U.S.C. 811 to the Administrator of the
                                                  sentence.                                                                                                     peripheral acting mu-opioid antagonist,
                                                                                                          Drug Enforcement Administration
                                                                                                                                                                can prevent OIC.
                                                    By the Commission.                                    (DEA). 28 CFR 0.100.
                                                    Dated: September 13, 2017.                               The Controlled Substances Act (CSA)                DEA and HHS Eight Factor Analyses
                                                  Brent J. Fields,                                        provides that proceedings for the                        On June 8, 2016, the DEA received a
                                                  Secretary.                                              issuance, amendment, or repeal of the                 petition from the drug sponsor
                                                  [FR Doc. 2017–20654 Filed 9–28–17; 8:45 am]
                                                                                                          scheduling of any drug or other                       requesting that the DEA amend 21 CFR
                                                                                                          substance may be initiated by the                     1308.12(b)(1) to exclude naldemedine as
                                                  BILLING CODE 8011–01–P
                                                                                                          Attorney General (1) on his own motion,               a schedule II substance from the
                                                                                                          (2) at the request of the Secretary of the            Controlled Substances Act (CSA). The
                                                                                                          Department of Health and Human                        petitioner stated that naldemedine is a
                                                  DEPARTMENT OF JUSTICE                                   Services (HHS) 1, or (3) on the petition              potent peripherally acting mu-opioid
                                                  Drug Enforcement Administration                         of any interested party. 21 U.S.C. 811(a).            receptor antagonist. In accordance with
                                                                                                          This action was initiated at the request              21 CFR 1308.43(c), the DEA accepted
                                                  21 CFR Part 1308                                        of the Acting Assistant Secretary for                 the petition for filing on August 5, 2016.
                                                                                                          Health of the HHS and by a petition by                   On March 22, 2017, the HHS provided
                                                  [Docket No. DEA–468]                                    the drug sponsor to DEA to remove                     the DEA with a scientific and medical
                                                                                                          naldemedine from the list of scheduled                evaluation document prepared by the
                                                  Schedules of Controlled Substances:                     controlled substances of the CSA, and is
                                                  Removal of Naldemedine From Control                                                                           FDA entitled ‘‘Basis for the
                                                                                                          supported by, inter alia, a                           Recommendation to Decontrol
                                                  AGENCY:  Drug Enforcement                               recommendation from the Assistant                     Naldemedine and its Salts from the
                                                  Administration, Department of Justice.                  Secretary of the HHS and an evaluation                Controlled Substances Act.’’ After
                                                  ACTION: Final rule.                                                                                           considering the eight factors in 21
                                                                                                            1 As set forth in a memorandum of understanding
                                                                                                                                                                U.S.C. 811(c), including consideration
asabaliauskas on DSKBBXCHB2PROD with RULES




                                                  SUMMARY:   With the issuance of this final              entered into by the HHS, the Food and Drug
                                                                                                          Administration (FDA), and the National Institute on   of the substance’s abuse potential,
                                                  rule, the Drug Enforcement                              Drug Abuse (NIDA), the FDA acts as the lead agency    legitimate medical use, and dependence
                                                  Administration removes the substance                    within the HHS in carrying out the Secretary’s        liability, the Assistant Secretary of the
                                                  naldemedine (4R,4aS,7aR,12bS)-3-                        scheduling responsibilities under the CSA, with the
                                                                                                                                                                HHS recommended that naldemedine
                                                  (cyclopropylmethyl)-4a,7,9-trihydroxy-                  concurrence of the NIDA. 50 FR 9518, Mar. 8, 1985.
                                                                                                          The Secretary of the HHS has delegated to the
                                                  N-(2-(3-phenyl-1,2,4-oxadiazol-5-                       Assistant Secretary for Health of the HHS the           2 http://www.accessdata.fda.gov/drugsatfda_
                                                  yl)propan-2-yl)-2,3,4,4a,5,7a-hexahydro-                authority to make domestic drug scheduling            docs/appletter/2017/208854Orig1s000ltr.pdf (last
                                                  1H-4,12-methanobenzofuro[3,2-                           recommendations. 58 FR 35460, July 1, 1993.           accessed 04/13/2017).



                                             VerDate Sep<11>2014   16:55 Sep 28, 2017   Jkt 241001   PO 00000   Frm 00016   Fmt 4700   Sfmt 4700   E:\FR\FM\29SER1.SGM   29SER1



Document Created: 2017-09-29 03:26:59
Document Modified: 2017-09-29 03:26:59
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 September 29, 2017, except that amendatory instruction 4 to Sec. 232.301 is effective June 1, 2018. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of September 29, 2017.
ContactIn the Division of Investment Management, for questions concerning Forms N-PORT and N-CEN, contact Heather Fernandez at (202) 551-6708; in the Division of Corporation Finance, for questions concerning Forms S-1, S-3, S-4, S-8, S-11, F-1, F-3, F-4, 8-K, 10, 10-K, 10-Q, 20-F, and 40-F, contact Heather Mackintosh at (202) 551-8111; in the Office of Financial Management, for questions about negative account balances, contact Andrew Grimaldi at (202) 551-7304.
FR Citation82 FR 45434 
CFR AssociatedIncorporation by Reference; Reporting and Recordkeeping Requirements and Securities

2024 Federal Register | Disclaimer | Privacy Policy
USC | CFR | eCFR