SEC Adopts Updated EDGAR Filer Manual (Volume II) | Practical Law

SEC Adopts Updated EDGAR Filer Manual (Volume II) | Practical Law

The SEC updated Volume II of its EDGAR Filer Manual.

SEC Adopts Updated EDGAR Filer Manual (Volume II)

Practical Law Legal Update 0-543-3885 (Approx. 2 pages)

SEC Adopts Updated EDGAR Filer Manual (Volume II)

by Practical Law Corporate & Securities
Published on 26 Sep 2013 • USA (National/Federal)
The SEC updated Volume II of its EDGAR Filer Manual.
On September 25, 2013, the SEC issued a final rule adopting revisions to Volume II of the EDGAR Filer Manual and related rules to reflect updates to the EDGAR system that took effect on September 23, 2013.
Among other changes, the screens and instructions for the online Form D submission form were updated to replace the references in Item 6 to:
  • "Rule 506" with references to "Rule 506(b)" and "Rule 506(c)."
  • "Securities Act Section 4(5)" with a reference to "Securities Act Section 4(a)(5)."
The "Terms of Submission" section of the Signature and Submission screen for the online Form D submission form was also updated to include a certification that if the issuer is claiming a Regulation D exemption for the offering, it is not disqualified from relying on Regulation D under the "bad actor" rules that took effect on September 23, 2013.
In addition, submission form types 13F-HR and 13F-HR/A were updated to allow a maximum of 16 digits in the Sole, Shared and None columns in Column 8 of the Information Table.
To learn more about filing documents with the SEC, see Practice Note, Filing Documents with the SEC.