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SEC Adopts Updated EDGAR Filer Manual (Volume II)
Practical Law Legal Update w-002-0540 (Approx. 4 pages)
SEC Adopts Updated EDGAR Filer Manual (Volume II)
by Practical Law Corporate & Securities
| Published on 28 Apr 2016 • USA (National/Federal) |
The SEC updated Volume II of its EDGAR Filer Manual.
On April 27, 2016, the SEC issued a final rule adopting revisions to Volume II of the EDGAR Filer Manual. The revised Manual introduces the following changes:
- Security-based swap dealers and major security-based swap participants can now 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 that choose to file electronically must now 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 the Regulation Crowdfunding submission form types C, C/A, and C-U has been updated to permit a value of zero in addition to the other allowable numeric values.
The following documents have also taken effect:
In addition, on March 7, 2016, EDGAR was updated to accept the 2016 US GAAP XBRL taxonomies. For more information, see Practice Note, XBRL Reporting Requirements.
To learn more about filing documents with the SEC, see Practice Note, Filing Documents with the SEC.