Enter to open, tab to navigate, enter to select
SEC Releases Updated Draft EDGAR Filer Manual (Volume II)
Practical Law Legal Update w-001-8231 (Approx. 4 pages)
SEC Releases Updated Draft EDGAR Filer Manual (Volume II)
by Practical Law Corporate & Securities
| Published on 29 Mar 2016 • USA (National/Federal) |
The SEC released an updated draft of Volume II of the EDGAR Filer Manual to reflect changes scheduled to be implemented on April 25, 2016.
On March 25, 2016, the SEC released an updated draft of Volume II of its EDGAR Filer Manual, which outlines the procedures for submitting documents to the SEC in electronic format. The SEC also released an updated draft of the EDGAR ABS XML Technical Specification (Version 1.2), as well as drafts of the new EDGAR Form 17-H XML Technical Specification (Version 1) and EDGAR SBS Entity Form XML Technical Specification (Version 1).
If approved, the revised Manual will introduce the following changes:
- Security-based swap dealers and major security-based swap participants will be able to register and withdraw from registration with the SEC using the following submission form types:
- SBSE: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants;
- SBSE/A: Amendment to an Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants;
- SBSE-A: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer or Major Swap Participant;
- SBSE-A/A: Amendment to an Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer or Major Swap Participant;
- SBSE-BD: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers;
- SBSE-BD/A: Amendment to an Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers;
- SBSE-C: Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants; and
- SBSE-W: Request for Withdrawal from Registration as a Security-based Swap Dealer or Major Security-based Swap Participant.
- Broker-dealers will be required to submit the Risk Assessment Report for Brokers and Dealers Form 17-H using the following submission form types:
- 17HACON: Confidential broker dealer annual 17-H report;
- 17HACON/A: Pre-effective amendment for confidential broker dealer annual 17-H report;
- 17HQCON: Confidential broker dealer quarterly 17-H report; and
- 17HQCON/A: Pre-effective amendment for confidential broker dealer quarterly17-H report.
- The "Current Number of Employees" field on the "Disclosure Requirements" screen of submission form types C, C/A, and C-U will be updated to permit a value of zero in addition to the currently allowable numeric values.
If the drafts are approved, the changes to EDGAR will be implemented on April 25, 2016.
To learn more about filing documents with the SEC, see Practice Note, Filing Documents with the SEC.