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]


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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.

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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 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.
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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 July 17, 2017. See Release No. 33-10385 (July 6, 
2017) [82 FR 35062].
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    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\
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    \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.
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    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.
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    \4\ 5 U.S.C. 553(b)(A).
    \5\ 5 U.S.C. 601-612.
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    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.
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    \6\ 5 U.S.C. 553(d)(3).
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Statutory Basis

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

    Incorporation by reference, Reporting and recordkeeping 
requirements, Securities.

Text of the Amendment

    In accordance with the foregoing, title 17, chapter II of the Code 
of Federal Regulations is amended as follows:

PART 232--REGULATION S-T--GENERAL RULES AND REGULATIONS FOR 
ELECTRONIC FILINGS

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

    Authority: 15 U.S.C. 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
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