82_FR_7658 82 FR 7645 - Adoption of Updated EDGAR Filer Manual

82 FR 7645 - Adoption of Updated EDGAR Filer Manual

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 13 (January 23, 2017)

Page Range7645-7647
FR Document2016-32032

The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The updates are being made primarily to support the submission of Municipal Advisor submission form types. The EDGAR system is scheduled to be upgraded to support the other functionalities on December 12, 2016.

Federal Register, Volume 82 Issue 13 (Monday, January 23, 2017)
[Federal Register Volume 82, Number 13 (Monday, January 23, 2017)]
[Rules and Regulations]
[Pages 7645-7647]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-32032]


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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 232

[Release Nos. 33-10265; 34-79519; 39-2513; IC-32387]


Adoption of Updated EDGAR Filer Manual

AGENCY: Securities and Exchange Commission.

ACTION: Final rule.

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SUMMARY: The Securities and Exchange Commission (the Commission) is 
adopting revisions to the Electronic Data Gathering, Analysis, and 
Retrieval System (EDGAR) Filer Manual and related rules to reflect 
updates to the EDGAR system. The updates are being made primarily to 
support the submission of Municipal Advisor submission form types. The 
EDGAR system is scheduled to be upgraded to support the other 
functionalities on December 12, 2016.

DATES: Effective January 23, 2017. The incorporation by reference of 
the EDGAR Filer Manual is approved by the Director of the Federal 
Register as of January 23, 2017.

FOR FURTHER INFORMATION CONTACT: In the Division of Corporation 
Finance, for questions concerning Form ABS-EE and Regulation A 
submission form types, contact Vik Sheth at (202) 551-3818; in the 
Division of Trading and Markets, for questions concerning Form MA and 
Form 17-H, contact Kathy Bateman at (202) 551-4345; and in the Division 
of Economic and Risk Analysis, for questions concerning eXtensible 
Business Reporting Language (XBRL) submissions; contact Walter Hamscher 
at (202) 551-5397.

SUPPLEMENTARY INFORMATION: We are adopting an updated EDGAR Filer 
Manual, Volume I and Volume II. The Filer Manual describes the 
technical formatting requirements for the preparation and submission of 
electronic filings through the EDGAR system.\1\ It also describes the 
requirements for filing using EDGARLink Online and the Online Forms/XML 
Web site.
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    \1\ We originally adopted the Filer Manual on April 1, 1993, 
with an effective date of April 26, 1993. Release No. 33-6986 (April 
1, 1993) [58 FR 18638]. We implemented the most recent update to the 
Filer Manual on September 19, 2016. See Release No. 33-10217 
(September 30, 2016) [81 FR 67118].
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    The revisions to the Filer Manual reflect changes within Volume I 
entitled EDGAR Filer Manual, Volume I: ``General Information,'' Version 
25 (December 2016), and Volume II entitled

[[Page 7646]]

EDGAR Filer Manual, Volume II: ``EDGAR Filing,'' Version 39 (December 
2016). 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. 33-10217 in which we implemented EDGAR 
Release 16.3. For additional history of Filer Manual rules, please 
see the citations therein.
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    The EDGAR system will be upgraded to Release 16.4 on December 12, 
2016 and will introduce the following changes:
    Filers will be able to submit the Municipal Advisor submission form 
types MA, MA-A, MA/A, MA-I, MA-I/A, and MA-W in filer-constructed XML 
format from the EDGAR Filing Web site. For more information, see the 
``EDGAR Form MA XML Technical Specification'' document available on the 
SEC's Public Web site (https://www.sec.gov/info/edgar/tech-specs).
    Filers will be able to provide up to 200 owners instead of 50 
owners for Schedules A-1, A-2, B-1, and B-2 within MA, MA-A, and MA/A 
submissions (Schedules A-1, A-2, B-1, and B-2 are amended via Schedule 
C for MA-A and MA/A submissions).
    EDGAR will be upgraded to allow an entity with any Standard 
Industrial Classification (SIC) code value or no value (NULL) to 
request the creation of ABS Issuing Entities.
    EDGAR will be updated to allow duplicate submissions for ABS-EE.
    EDGARLink Online will be updated for ABS-EE and ABS-EE/A 
submissions such that non-existent CIKs will be flagged as errors 
during header data entry instead of after the submission has been sent 
and processed by EDGAR.
    The ABS-EE Asset Data schema will be updated to introduce the 
following Asset Class Item with date format MM/YYYY:

 RMBS ABS Asset Class: Item 1(c)(13)(vi), Most Senior Lien 
Origination Date

    In addition, the ABS-EE Asset Data schema will be updated to change 
the following Asset Class Item from an integer value to a percentage 
value:

 CMBS ABS Asset Class: Item 2(c)(28)(iv), ARM Margin Number

    For more information, see the updated ``EDGAR ABS XML Technical 
Specification'' document located on the SEC's Public Web site (https://www.sec.gov/info/edgar/tech-specs).
    EDGAR will transform word expressions for numbers, dates, and word 
or symbol expressions for QNames and nil expressions into their 
respective XML representations in Inline XBRL submissions. Filers will 
be able to provide typed dimensions in XBRL submissions. In addition, 
the following HTML tags will be usable in traditional XBRL documents: 
, , , and .
    All ASCII character validations will be removed for broker-dealer 
entity name fields on submission form types 17HACON, 17HACON/A, 
17HQCON, and 17HQCON/A. Broker-dealers now will be able to submit the 
aforementioned filings, irrespective of the ASCII characters in the 
broker-dealer entity name.
    Filers will be able to shift the order of the uploaded documents, 
and simultaneously select/de-select all uploaded documents on the 
``Attach Documents List'' screen for the Regulation A submission form 
types DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, and 1-K/A.
    On October 31, 2016, the EDGAR system was upgraded to Release 
16.3.3 and now supports the following changes:
    The ABS-EE CMBS Asset Class Item 2(e)(17), ``Payment Status Loan 
Code'' associated types were updated to include the value ``0'' for 
loan payment status of ``Current''. For more information, see section 
4.3.20 of the updated ``EDGAR ABS XML Technical Specification'' 
document located on the SEC's Public Web site (https://www.sec.gov/info/edgar/tech-specs).
    The maximum allowable submission size for form types ABS-EE and 
ABS-EE/A was increased to 600 MB.
    EDGAR was updated to remove the timeliness rule check, and to no 
longer verify if the submission form types NT 10-K, NTN 10K, NT 10-Q, 
NTN 10Q, NT 15D2, NTN15D2, NT 10-D, NTN 10D, NT 20-F, and NTN 20F were 
submitted before the filing deadline.
    Along with the adoption of the Filer Manual, we are amending Rule 
301 of Regulation S-T to provide for the incorporation by reference 
into the Code of Federal Regulations of today's revisions. This 
incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51.
    The updated EDGAR Filer Manual will be available for Web site 
viewing and printing; the address for the Filer Manual is https://www.sec.gov/info/edgar/edmanuals.htm. You may also obtain paper copies 
of the EDGAR Filer Manual from the following address: Public Reference 
Room, U.S. Securities and Exchange Commission, 100 F Street NE., 
Washington, DC 20549, on official business days between the hours of 
10:00 a.m. and 3:00 p.m.
    Since the Filer Manual and the corresponding rule changes relate 
solely to agency procedures or practice, publication for notice and 
comment is not required under the Administrative Procedure Act 
(APA).\4\ It follows that the requirements of the Regulatory 
Flexibility Act \5\ do not apply.
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    \4\ 5 U.S.C. 553(b)(A).
    \5\ 5 U.S.C. 601-612.
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    The effective date for the updated Filer Manual and the rule 
amendments is January 23, 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 16.4 is scheduled to become available on December 12, 2016. 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:

[[Page 7647]]

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

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

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

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


Sec.  232.301   EDGAR Filer Manual.

    Filers must prepare electronic filings in the manner prescribed by 
the EDGAR Filer Manual, promulgated by the Commission, which sets out 
the technical formatting requirements for electronic submissions. The 
requirements for becoming an EDGAR Filer and updating company data are 
set forth in the updated EDGAR Filer Manual, Volume I: ``General 
Information,'' Version 25 (December 2016). The requirements for filing 
on EDGAR are set forth in the updated EDGAR Filer Manual, Volume II: 
``EDGAR Filing,'' Version 39 (December 2016). Additional provisions 
applicable to Form N-SAR filers are set forth in the EDGAR Filer 
Manual, Volume III: ``N-SAR Supplement,'' Version 5 (September 2015). 
All of these provisions have been incorporated by reference into the 
Code of Federal Regulations, which action was approved by the Director 
of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR 
part 51. You must comply with these requirements in order for documents 
to be timely received and accepted. The EDGAR Filer Manual is available 
for Web site viewing and printing; the address for the Filer Manual is 
https://www.sec.gov/info/edgar/edmanuals.htm. You can obtain paper 
copies of the EDGAR Filer Manual from the following address: Public 
Reference Room, U.S. Securities and Exchange Commission, 100 F Street 
NE., Washington, DC 20549, on official business days between the hours 
of 10:00 a.m. and 3:00 p.m. You can also inspect the document at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.

    By the Commission.

    Dated: December 9, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016-32032 Filed 1-19-17; 8:45 am]
BILLING CODE 8011-01-P



                                                                  Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Rules and Regulations                                                    7645

                                                no regulatory choices the Commission                    monetary gain to such person for each                  SECURITIES AND EXCHANGE
                                                could make that would supersede the                     such violation; and                                    COMMISSION
                                                pre-enactment analysis with respect to                    (3) * * *
                                                the five factors enumerated in section                                                                         17 CFR Part 232
                                                15(a), or any other factors.                              (ii) In an administrative proceeding
                                                                                                        before the Commission or a civil action                [Release Nos. 33–10265; 34–79519; 39–
                                                List of Subjects in 17 CFR Part 143                                                                            2513; IC–32387]
                                                                                                        in Federal court initiated on August 1,
                                                  Civil monetary penalties, Claims.                     2016 through January 14, 2017:                         Adoption of Updated EDGAR Filer
                                                  For the reasons stated in the                         *      *     *    *    *                               Manual
                                                preamble, the Commodity Futures                           (iii) In an administrative proceeding
                                                Trading Commission amends part 17                                                                              AGENCY:  Securities and Exchange
                                                                                                        before the Commission or a civil action                Commission.
                                                CFR part 143 as follows:                                in Federal court initiated on or after                 ACTION: Final rule.
                                                PART 143—COLLECTION OF CLAIMS                           January 15, 2017:
                                                OWED THE UNITED STATES ARISING                            (A) For manipulation or attempted                    SUMMARY:   The Securities and Exchange
                                                FROM ACTIVITIES UNDER THE                               manipulation violations, not more than                 Commission (the Commission) is
                                                COMMISSION’S JURISDICTION                               the greater of $1,116,156 or triple the                adopting revisions to the Electronic Data
                                                                                                        monetary gain to such person for each                  Gathering, Analysis, and Retrieval
                                                ■ 1. The authority citation for part 143                such violation; and                                    System (EDGAR) Filer Manual and
                                                continues to read as follows:                                                                                  related rules to reflect updates to the
                                                                                                          (B) For all other violations, not more               EDGAR system. The updates are being
                                                  Authority: 7 U.S.C. 9, 15, 9a, 12a(5), 13a,           than the greater of $852,360 or triple the
                                                13a–1(d), 13(a), 13b; 31 U.S.C. 3701–3720E;                                                                    made primarily to support the
                                                28 U.S.C. 2461 note.
                                                                                                        monetary gain to such person for each                  submission of Municipal Advisor
                                                                                                        such violation; and                                    submission form types. The EDGAR
                                                ■ 2. Amend § 143.8 as follows:                                                                                 system is scheduled to be upgraded to
                                                                                                          (4) * * *
                                                ■ a. Revise paragraphs (a)(1)(ii)                                                                              support the other functionalities on
                                                introductory text, (a)(2)(ii), (a)(3)(ii)                 (ii) In an administrative proceeding
                                                                                                                                                               December 12, 2016.
                                                introductory text, and (a)(4)(ii)                       before the Commission or a civil action
                                                                                                        in Federal court initiated on August 1,                DATES: Effective January 23, 2017. The
                                                introductory text; and
                                                ■ b. Add paragraphs (a)(1)(iii), (a)(2)(iii),           2016 through January 14, 2017:                         incorporation by reference of the
                                                (a)(3)(iii), and (a)(4)(iii).                                                                                  EDGAR Filer Manual is approved by the
                                                                                                        *      *     *    *    *                               Director of the Federal Register as of
                                                   The revisions and additions read as
                                                                                                          (iii) In an administrative proceeding                January 23, 2017.
                                                follows:
                                                                                                        before the Commission or a civil action                FOR FURTHER INFORMATION CONTACT: In
                                                § 143.8 Inflation-adjusted civil monetary               in Federal court initiated on or after                 the Division of Corporation Finance, for
                                                penalties.                                              January 15, 2017:                                      questions concerning Form ABS–EE and
                                                   (a) * * *                                              (A) For manipulation or attempted                    Regulation A submission form types,
                                                   (1) * * *                                            manipulation violations, not more than                 contact Vik Sheth at (202) 551–3818; in
                                                   (ii) In an administrative proceeding                 the greater of $1,116,156 or triple the                the Division of Trading and Markets, for
                                                before the Commission or a civil action                 monetary gain to such person for each                  questions concerning Form MA and
                                                in Federal court initiated on August 1,                 such violation; and                                    Form 17–H, contact Kathy Bateman at
                                                2016 through January 14, 2017:                                                                                 (202) 551–4345; and in the Division of
                                                                                                          (B) For all other violations, not more               Economic and Risk Analysis, for
                                                *       *     *   *     *
                                                   (iii) In an administrative proceeding                than the greater of $170,472 or triple the             questions concerning eXtensible
                                                before the Commission or a civil action                 monetary gain to such person for each                  Business Reporting Language (XBRL)
                                                in Federal court initiated on or after                  such violation.                                        submissions; contact Walter Hamscher
                                                January 15, 2017:                                       *      *     *    *    *                               at (202) 551–5397.
                                                   (A) For manipulation or attempted                      Issued in Washington, DC, on January 6,              SUPPLEMENTARY INFORMATION: We are
                                                manipulation violations, not more than                  2017, by the Commission.                               adopting an updated EDGAR Filer
                                                the greater of $1,116,156 or triple the                                                                        Manual, Volume I and Volume II. The
                                                                                                        Robert N. Sidman,
                                                monetary gain to such person for each                                                                          Filer Manual describes the technical
                                                such violation; and                                     Deputy Secretary of the Commission.
                                                                                                                                                               formatting requirements for the
                                                   (B) For all other violations, not more                 Note: The following appendix will not                preparation and submission of
                                                than the greater of $154,734 or triple the              appear in the Code of Federal Regulations.             electronic filings through the EDGAR
                                                monetary gain to such person for each                                                                          system.1 It also describes the
                                                such violation; and                                     Appendix to Adjustment of Civil                        requirements for filing using
                                                   (2) * * *                                            Monetary Penalties for Inflation—                      EDGARLink Online and the Online
                                                   (ii) In an administrative proceeding                 2017—Commission Voting Summary                         Forms/XML Web site.
                                                before the Commission or a civil action                                                                           The revisions to the Filer Manual
                                                in Federal court initiated on August 1,                   On this matter, Chairman Massad and                  reflect changes within Volume I entitled
                                                2016 through January 14, 2017, not                      Commissioners Bowen and Giancarlo voted                EDGAR Filer Manual, Volume I:
                                                more than the greater of $152,243 or                    in the affirmative. No Commissioner voted in           ‘‘General Information,’’ Version 25
mstockstill on DSK3G9T082PROD with RULES




                                                triple the monetary gain to such person                 the negative.                                          (December 2016), and Volume II entitled
                                                for each such violation;                                [FR Doc. 2017–00488 Filed 1–19–17; 8:45 am]
                                                   (iii) In an administrative proceeding                BILLING CODE 6351–01–P                                    1 We originally adopted the Filer Manual on April

                                                before the Commission or a civil action                                                                        1, 1993, with an effective date of April 26, 1993.
                                                                                                                                                               Release No. 33–6986 (April 1, 1993) [58 FR 18638].
                                                in Federal court initiated on or after                                                                         We implemented the most recent update to the Filer
                                                January 15, 2017, not more than the                                                                            Manual on September 19, 2016. See Release No. 33–
                                                greater of $154,734 or triple the                                                                              10217 (September 30, 2016) [81 FR 67118].



                                           VerDate Sep<11>2014   18:54 Jan 19, 2017   Jkt 241001   PO 00000   Frm 00015   Fmt 4700   Sfmt 4700   E:\FR\FM\23JAR1.SGM   23JAR1


                                                7646              Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Rules and Regulations

                                                EDGAR Filer Manual, Volume II:                          • CMBS ABS Asset Class: Item                              The updated EDGAR Filer Manual
                                                ‘‘EDGAR Filing,’’ Version 39 (December                     2(c)(28)(iv), ARM Margin Number                     will be available for Web site viewing
                                                2016). The updated manual will be                          For more information, see the updated               and printing; the address for the Filer
                                                incorporated by reference into the Code                 ‘‘EDGAR ABS XML Technical                              Manual is https://www.sec.gov/info/
                                                of Federal Regulations.                                 Specification’’ document located on the                edgar/edmanuals.htm. You may also
                                                   The Filer Manual contains all the                    SEC’s Public Web site (https://                        obtain paper copies of the EDGAR Filer
                                                technical specifications for filers to                  www.sec.gov/info/edgar/tech-specs).                    Manual from the following address:
                                                submit filings using the EDGAR system.                     EDGAR will transform word                           Public Reference Room, U.S. Securities
                                                Filers must comply with the applicable                  expressions for numbers, dates, and                    and Exchange Commission, 100 F Street
                                                provisions of the Filer Manual in order                 word or symbol expressions for QNames                  NE., Washington, DC 20549, on official
                                                to assure the timely acceptance and                     and nil expressions into their respective              business days between the hours of
                                                processing of filings made in electronic                XML representations in Inline XBRL                     10:00 a.m. and 3:00 p.m.
                                                format.2 Filers may consult the Filer                   submissions. Filers will be able to
                                                Manual in conjunction with our rules                    provide typed dimensions in XBRL                          Since the Filer Manual and the
                                                governing mandated electronic filing                    submissions. In addition, the following                corresponding rule changes relate solely
                                                when preparing documents for                            HTML tags will be usable in traditional                to agency procedures or practice,
                                                electronic submission.3                                 XBRL documents: <SPAN>, <TBODY>,                       publication for notice and comment is
                                                   The EDGAR system will be upgraded                    <TFOOT>, and <THEAD>.                                  not required under the Administrative
                                                to Release 16.4 on December 12, 2016                       All ASCII character validations will                Procedure Act (APA).4 It follows that
                                                and will introduce the following                        be removed for broker-dealer entity                    the requirements of the Regulatory
                                                changes:                                                name fields on submission form types                   Flexibility Act 5 do not apply.
                                                   Filers will be able to submit the                    17HACON, 17HACON/A, 17HQCON,                              The effective date for the updated
                                                Municipal Advisor submission form                       and 17HQCON/A. Broker-dealers now                      Filer Manual and the rule amendments
                                                types MA, MA–A, MA/A, MA–I, MA–I/                       will be able to submit the                             is January 23, 2017. In accordance with
                                                A, and MA–W in filer-constructed XML                    aforementioned filings, irrespective of
                                                format from the EDGAR Filing Web site.                                                                         the APA,6 we find that there is good
                                                                                                        the ASCII characters in the broker-                    cause to establish an effective date less
                                                For more information, see the ‘‘EDGAR                   dealer entity name.
                                                Form MA XML Technical                                                                                          than 30 days after publication of these
                                                                                                           Filers will be able to shift the order              rules. The EDGAR system upgrade to
                                                Specification’’ document available on                   of the uploaded documents, and
                                                the SEC’s Public Web site (https://                                                                            Release 16.4 is scheduled to become
                                                                                                        simultaneously select/de-select all
                                                www.sec.gov/info/edgar/tech-specs).                                                                            available on December 12, 2016. The
                                                                                                        uploaded documents on the ‘‘Attach
                                                   Filers will be able to provide up to                                                                        Commission believes that establishing
                                                                                                        Documents List’’ screen for the
                                                200 owners instead of 50 owners for                     Regulation A submission form types                     an effective date less than 30 days after
                                                Schedules A–1, A–2, B–1, and B–2                        DOS, DOS/A, 1–A, 1–A/A, 1–A POS, 1–                    publication of these rules is necessary to
                                                within MA, MA–A, and MA/A                               K, and 1–K/A.                                          coordinate the effectiveness of the
                                                submissions (Schedules A–1, A–2, B–1,                      On October 31, 2016, the EDGAR                      updated Filer Manual with these system
                                                and B–2 are amended via Schedule C for                  system was upgraded to Release 16.3.3                  upgrades.
                                                MA–A and MA/A submissions).                             and now supports the following
                                                   EDGAR will be upgraded to allow an                                                                          Statutory Basis
                                                                                                        changes:
                                                entity with any Standard Industrial                        The ABS–EE CMBS Asset Class Item                      We are adopting the amendments to
                                                Classification (SIC) code value or no                   2(e)(17), ‘‘Payment Status Loan Code’’                 Regulation S–T under Sections 6, 7, 8,
                                                value (NULL) to request the creation of                 associated types were updated to                       10, and 19(a) of the Securities Act of
                                                ABS Issuing Entities.                                   include the value ‘‘0’’ for loan payment               1933,7 Sections 3, 12, 13, 14, 15, 23, and
                                                   EDGAR will be updated to allow                       status of ‘‘Current’’. For more
                                                duplicate submissions for ABS–EE.                                                                              35A of the Securities Exchange Act of
                                                                                                        information, see section 4.3.20 of the                 1934,8 Section 319 of the Trust
                                                   EDGARLink Online will be updated                     updated ‘‘EDGAR ABS XML Technical
                                                for ABS–EE and ABS–EE/A submissions                                                                            Indenture Act of 1939,9 and Sections 8,
                                                                                                        Specification’’ document located on the                30, 31, and 38 of the Investment
                                                such that non-existent CIKs will be                     SEC’s Public Web site (https://
                                                flagged as errors during header data                                                                           Company Act of 1940.10
                                                                                                        www.sec.gov/info/edgar/tech-specs).
                                                entry instead of after the submission has                  The maximum allowable submission                    List of Subjects in 17 CFR Part 232
                                                been sent and processed by EDGAR.                       size for form types ABS–EE and ABS–
                                                   The ABS–EE Asset Data schema will                    EE/A was increased to 600 MB.                            Incorporation by reference, Reporting
                                                be updated to introduce the following                      EDGAR was updated to remove the                     and recordkeeping requirements,
                                                Asset Class Item with date format MM/                   timeliness rule check, and to no longer                Securities.
                                                YYYY:                                                   verify if the submission form types NT                 Text of the Amendment
                                                • RMBS ABS Asset Class: Item                            10–K, NTN 10K, NT 10–Q, NTN 10Q,
                                                   1(c)(13)(vi), Most Senior Lien                       NT 15D2, NTN15D2, NT 10–D, NTN                           In accordance with the foregoing,
                                                   Origination Date                                     10D, NT 20–F, and NTN 20F were                         Title 17, Chapter II of the Code of
                                                   In addition, the ABS–EE Asset Data                   submitted before the filing deadline.                  Federal Regulations is amended as
                                                schema will be updated to change the                       Along with the adoption of the Filer                follows:
                                                following Asset Class Item from an                      Manual, we are amending Rule 301 of
mstockstill on DSK3G9T082PROD with RULES




                                                integer value to a percentage value:                    Regulation S–T to provide for the                        45  U.S.C. 553(b)(A).
                                                                                                        incorporation by reference into the Code                 55  U.S.C. 601–612.
                                                   2 See Rule 301 of Regulation S–T (17 CFR
                                                                                                        of Federal Regulations of today’s                        6 5 U.S.C. 553(d)(3).
                                                232.301).                                               revisions. This incorporation by                         7 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
                                                   3 See Release No. 33–10217 in which we

                                                implemented EDGAR Release 16.3. For additional
                                                                                                        reference was approved by the Director                   8 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll.

                                                history of Filer Manual rules, please see the           of the Federal Register in accordance                    9 15 U.S.C. 77sss.

                                                citations therein.                                      with 5 U.S.C. 552(a) and 1 CFR part 51.                  10 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37.




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                                                                  Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Rules and Regulations                                              7647

                                                PART 232—REGULATION S–T—                                  Dated: December 9, 2016.                             2016, ‘‘2016–8’’ is corrected to read
                                                GENERAL RULES AND REGULATIONS                           Brent J. Fields,                                       ‘‘2016–9’’ in the following locations in
                                                FOR ELECTRONIC FILINGS                                  Secretary.                                             the SUPPLEMENTARY INFORMATION section:
                                                                                                        [FR Doc. 2016–32032 Filed 1–19–17; 8:45 am]            On page 95860 in the second column
                                                ■ 1. The authority citation for Part 232                BILLING CODE 8011–01–P                                 (first line of the last paragraph) and
                                                continues to read in part as follows:                                                                          third column (sixth line from the
                                                                                                                                                               bottom); and on page 95861 in the first
                                                  Authority: 15 U.S.C. 77f, 77g, 77h, 77j,                                                                     column (first line).
                                                77s(a), 77z–3, 77sss(a), 78c(b), 78l, 78m, 78n,         DELAWARE RIVER BASIN
                                                78o(d), 78w(a), 78ll, 80a–6(c), 80a–8, 80a–29,          COMMISSION                                                Rule Correction. As published, the
                                                80a–30, 80a–37, and 7201 et seq.; and 18
                                                                                                                                                               final regulations omit language adopted
                                                                                                        18 CFR Part 401                                        by the Commission in response to
                                                U.S.C. 1350.
                                                                                                                                                               comments received. The regulations are
                                                *      *     *       *      *                           Regulatory Program Fees; Correction                    thus incorrect and in need of
                                                ■ 2. Section 232.301 is revised to read                 AGENCY:  Delaware River Basin                          amendment, as set forth below.
                                                as follows:                                             Commission.                                            List of Subjects in 18 CFR Part 401
                                                                                                        ACTION: Correcting amendments.
                                                § 232.301   EDGAR Filer Manual.                                                                                  Administrative practice and
                                                                                                        SUMMARY:    The Delaware River Basin                   procedure, Project review, Water
                                                   Filers must prepare electronic filings
                                                                                                        Commission published a document in                     pollution control, Water resources.
                                                in the manner prescribed by the EDGAR
                                                                                                        the Federal Register on December 29,
                                                Filer Manual, promulgated by the                        2016 (81 FR 95860), in relevant part                     Accordingly, 18 CFR part 401 is
                                                Commission, which sets out the                          amending the Rules of Practice and                     corrected by the following correcting
                                                technical formatting requirements for                   Procedure. The document failed to                      amendments:
                                                electronic submissions. The                             include rule text approved by the
                                                requirements for becoming an EDGAR                                                                             PART 401—RULES OF PRACTICE AND
                                                                                                        Commission relating to the annual                      PROCEDURE
                                                Filer and updating company data are set                 monitoring and coordination fee. This
                                                forth in the updated EDGAR Filer                        document corrects the final regulations
                                                Manual, Volume I: ‘‘General                                                                                    ■ 1. The authority citation for part 401
                                                                                                        by incorporating the approved language.                continues to read as follows:
                                                Information,’’ Version 25 (December                     In addition, this document corrects the
                                                2016). The requirements for filing on                   preamble to clarify that in adopting the                 Authority: Delaware River Basin Compact
                                                EDGAR are set forth in the updated                      final rule, the Commission acted by                    (75 Stat. 688), unless otherwise noted.
                                                EDGAR Filer Manual, Volume II:                          Resolution No. 2016–9, not 2016–8.                     Subpart C—Project Review Under
                                                ‘‘EDGAR Filing,’’ Version 39 (December                  DATES: This final rule is effective                    Section 3.8 of the Compact
                                                2016). Additional provisions applicable                 January 23, 2017.
                                                to Form N–SAR filers are set forth in the               FOR FURTHER INFORMATION CONTACT:                       ■ 2. In § 401.43, revise paragraph (b)(2)
                                                EDGAR Filer Manual, Volume III: ‘‘N–                    Pamela M. Bush, Commission Secretary                   to read as follows:
                                                SAR Supplement,’’ Version 5                             and Assistant General Counsel, 609–
                                                (September 2015). All of these                          477–7203.                                              § 401.43   Regulatory program fees.
                                                provisions have been incorporated by                    SUPPLEMENTARY INFORMATION:                             *       *    *    *     *
                                                reference into the Code of Federal                      Background. When the Commission                           (b) * * *
                                                Regulations, which action was approved                  adopted Resolution No. 2016–9, in                         (2) Annual monitoring and
                                                by the Director of the Federal Register                 relevant part approving amendments to                  coordination fee. (i) Except as provided
                                                in accordance with 5 U.S.C. 552(a) and                  the Rules of Practice and Procedure (18                in paragraph (b)(2)(ii) of this section, an
                                                1 CFR part 51. You must comply with                     CFR part 401) concerning regulatory                    annual monitoring and coordination fee
                                                these requirements in order for                         program fees, it approved rule language                shall apply to each active water
                                                documents to be timely received and                     to expressly exclude from the                          allocation or wastewater discharge
                                                accepted. The EDGAR Filer Manual is                     calculation of the annual monitoring                   approval issued pursuant to the
                                                available for Web site viewing and                      and coordination fee all water for which               Compact and implementing regulations,
                                                printing; the address for the Filer                     an entitlement issued pursuant to the                  regardless of whether the approval was
                                                Manual is https://www.sec.gov/info/                     Basin Regulations—Water Supply                         issued by the Commission in the form
                                                edgar/edmanuals.htm. You can obtain                     Charges (18 CFR part 420) is in effect.                of a docket, permit or other instrument,
                                                paper copies of the EDGAR Filer                         Final rule documents posted on the                     or by a Signatory Party Agency under
                                                Manual from the following address:                      Commission’s Web site included the                     the One Permit Program rule (§ 401.42).
                                                Public Reference Room, U.S. Securities                  approved language, but the language                    The fee shall be based on the amount of
                                                and Exchange Commission, 100 F Street                   was inadvertently omitted from DRBC’s                  a project’s approved monthly water
                                                NE., Washington, DC 20549, on official                  Federal Register submission and thus                   allocation and/or approved daily
                                                business days between the hours of                      from the CFR.                                          discharge capacity.
                                                10:00 a.m. and 3:00 p.m. You can also                      In addition, the preamble to the final
                                                                                                        rule published in the Federal Register                    (ii) For any withdrawal or diversion
                                                inspect the document at the National                                                                           covered in part by a certificate of
                                                Archives and Records Administration                     incorrectly referred to the Commission’s
                                                                                                        rule adoption resolution as number                     entitlement issued pursuant to §§ 420.31
                                                (NARA). For information on the
mstockstill on DSK3G9T082PROD with RULES




                                                                                                        2016–8, when the resolution was                        and 420.32 of the water supply charges
                                                availability of this material at NARA,                                                                         regulations (18 CFR part 420), the
                                                call 202–741–6030, or go to: http://                    number 2016–9.
                                                                                                                                                               annual monitoring and coordination fee
                                                www.archives.gov/federal_register/                      Corrections                                            shall be based on the allocated amount,
                                                code_of_federal_regulations/ibr_                          Preamble Correction. In final rule FR                if any, in excess of the quantity
                                                locations.html.                                         Doc. 2016–31146, beginning on page                     specified in the entitlement.
                                                    By the Commission.                                  95860 in the issue of December 29,                     *       *    *    *     *


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Document Created: 2017-01-20 01:30:20
Document Modified: 2017-01-20 01:30:20
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 January 23, 2017. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of January 23, 2017.
ContactIn the Division of Corporation Finance, for questions concerning Form ABS-EE and Regulation A submission form types, contact Vik Sheth at (202) 551-3818; in the Division of Trading and Markets, for questions concerning Form MA and Form 17-H, contact Kathy Bateman at (202) 551-4345; and in the Division of Economic and Risk Analysis, for questions concerning eXtensible Business Reporting Language (XBRL) submissions; contact Walter Hamscher at (202) 551-5397.
FR Citation82 FR 7645 
CFR AssociatedIncorporation by Reference; Reporting and Recordkeeping Requirements and Securities

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