The SEC updated Volumes I and II of its EDGAR Filer Manual.
On August 3, 2015, the SEC issued a final rule adopting revisions to Volumes I and II of the EDGAR Filer Manual. The revised Manual introduces the following changes:
Form NRSRO filers must now use the following new submission form types to electronically submit their filings:
NRSRO-UPD - Update of Registration;
NRSRO-CE - Annual Certification;
NRSRO-CE/A - Amendment for Annual Certification;
NRSRO-FR - Annual Financial Reports;
NRSRO-FR/A - Amendment for Annual Financial Reports;
NRSRO-WCLS - Withdrawal from Credit Rating Class; and
NRSRO-WREG - Withdrawal from Registration.
The following new applicant types are now available for filers applying for EDGAR access:
Security-Based Swap Dealer and Major Security-Based Swap Participant; and
Security-Based Swap Execution Facility.
Revisions have been made to Chapter 3 (Index to Forms) of Volume II to update submission form types SF-1 and SF-3 in Table 3-1 (Securities Act Submission Types Accepted by EDGAR).
Revisions have been made to Volume I for Section 508 compliance.
Revisions have been made to address certain software changes previously made on EDGAR.