SEC Adopts Updated EDGAR Filer Manual (Volumes I and II) to Reflect Amendments to Regulation A | Practical Law

SEC Adopts Updated EDGAR Filer Manual (Volumes I and II) to Reflect Amendments to Regulation A | Practical Law

The SEC updated Volumes I and II of its EDGAR Filer Manual to reflect recent amendments to Regulation A.

SEC Adopts Updated EDGAR Filer Manual (Volumes I and II) to Reflect Amendments to Regulation A

by Practical Law Corporate & Securities
Published on 12 May 2015 • USA (National/Federal)
The SEC updated Volumes I and II of its EDGAR Filer Manual to reflect recent amendments to Regulation A.
On May 11, 2015, updated versions of Volume I and Volume II of the EDGAR Filer Manual took effect.
The revised Manual includes the following changes, which reflect recent amendments to Regulation A:
  • EDGAR has been updated to add Regulation A submission form types DOS, DOS/A, DOSLTR, 1-A, 1-A/A, 1-A POS, 1-A-W, 1-A-W/A, 253G1, 253G2, 253G3, 253G4, 1-K, 1-K/A, 1-SA, 1-SA/A, 1-U, 1-U/A, 1-Z, 1-Z/A, 1-Z-W and 1-Z-W/A.
  • New filers can select the "Regulation A" option on the Form ID application to indicate that they are submitting an application for EDGAR access to file draft offering statements. If filers have an assigned Central Index Key (CIK), they must use the existing CIK to file draft offering statements.
  • Regulation A submission form types can be accessed from the "File Regulation A Forms" screen. This screen can be accessed by selecting the:
    • "Regulation A" or "Draft Offering Statement" link on the EDGAR filing website; or
    • "REG A" link on the "EDGARLink Online Submission Type Selection" screen.
  • Issuers who qualify to submit draft offering statements under Regulation A must prepare and submit their draft offering statements using submission form types DOS and DOS/A. Those issuers must use the submission type Draft Offering Statement Letter (DOSLTR) to submit correspondence related to draft offering statements.
  • Issuers who submit draft offering statements for non-public review can publicly disseminate previously submitted drafts by selecting the "Disseminate Draft Offering Statement" link on the "File Regulation A Forms" screen of the EDGAR Filing website.
  • Issuers can construct XML submissions for all Regulation A submission form types except DOS, DOS/A and DOSLTR. Issuers must follow the:
    • EDGARLink Online XML Technical Specification document to construct XML submissions for submission form types 1-A-W, 1-A-W/A, 1-SA, 1-SA/A, 1-U, 1-U/A, 253G1, 253G2, 253G3, 253G4, 1-Z-W and 1-Z-W/A; and
    • EDGAR REG A XML Technical Specification document to construct XML submissions for submission form types 1-A, 1-A/A, 1-A POS, 1-K, 1-K/A, 1-Z and 1-Z/A.
In addition, the following technical specifications took effect on May 11:
To learn more about filing documents with the SEC, see Practice Note, Filing Documents with the SEC.
For more information on the recent amendments to Regulation A, see Practice Note, Regulation "A+" Offerings under Amended Regulation A.