SEC Releases Updated Draft EDGAR Filer Manual (Volumes I and II) | Practical Law

SEC Releases Updated Draft EDGAR Filer Manual (Volumes I and II) | Practical Law

The SEC released updated drafts of Volumes I and II of the EDGAR Filer Manual to reflect changes scheduled to be implemented on December 15, 2014.

SEC Releases Updated Draft EDGAR Filer Manual (Volumes I and II)

Practical Law Legal Update 8-588-8947 (Approx. 3 pages)

SEC Releases Updated Draft EDGAR Filer Manual (Volumes I and II)

by Practical Law Corporate & Securities
Published on 18 Nov 2014USA (National/Federal)
The SEC released updated drafts of Volumes I and II of the EDGAR Filer Manual to reflect changes scheduled to be implemented on December 15, 2014.
On November 14, 2014, the SEC released updated drafts of Volume I and Volume II of its EDGAR Filer Manual, which outlines the procedures for submitting documents to the SEC in electronic format. The SEC also released updated drafts of EDGARLink Online XML Specification (Version 14) and EDGAR Form TA-2 XML Technical Specification (Version 5.5.0).
If approved, the revised Manual will introduce the following changes:
  • A new exhibit type EX - 1.01 will be available on EDGARLink Online for submission form types SD and SD/A. Issuers filing a conflict minerals report should specify Item 1.02 on a Form SD or SD/A submission and attach the conflict minerals report as EX - 1.01 in official ASCII or HTML format. Exhibit type EX - 1.02, which was previously allowed on an SD and SD/A submission, will no longer be available on EDGARLink Online or accepted by EDGAR.
  • Submission form type 13H-A will restrict the "calendar year ending" value to a year that is prior to the current calendar year.
  • The EDGAR automated submission notification e-mail for a 13H-A submission form type will inform the filer that the 13H-A submission received was for an annual filing or a combined annual and fourth quarter filing.
  • Form TA-2 and its amendment will be updated to remove the Office of Thrift Supervision as an option for Item 3(a) - Registrant's appropriate regulatory agency.
  • Validations for Item 5 of Form TA-2 and its amendment will be updated.
  • The EDGAR automated submission notification e-mails for Form D submissions will include the web address to the Electronic Filing Depository to enable Form D filers to fulfill their state filing obligations.
  • The EDGAR portal will be updated to include a new option that links to the Guidance for Filers and FAQs section on the SEC's website. In addition, the Access Notes section on the EDGAR Portal will include contact information for EDGAR filer support.
If the drafts are approved, the changes to EDGAR will be implemented on December 15, 2014.
To learn more about filing documents with the SEC, see Practice Note, Filing Documents with the SEC.