7968 Federal Register / Vol. 86, No. 21 / Wednesday, February 3, 2021 / Rules and Regulations 

1We originally adopted the Filer Manual on April 

1, 1993, with an effective date of April 26, 1993. 

Release No. 33–6986 (Apr. 1, 1993) [58 FR 18638]. 

The most recent update to the Filer Manual was 

Volume II: ‘‘EDGAR Filing,’’ Version 55 (November 

2020). See Electronic Signatures in Regulation S–T 

Rule 302, Release No. 33–10889 (Nov. 17, 2020) [85 

FR 78224] (‘‘Electronic Signatures Release’’). 

2See 17 CFR 232.10(b) (‘‘Rule 10(b)’’). 

relevant to the matter (‘‘relevant 

persons’’). The Commission will send 

the notice and factual statement by 

electronic mail to the email address on 

record in the filer’s EDGAR account, 

and to the email address of any relevant 

persons. The Commission may also 

send, if necessary, the notice and factual 

statement by registered, certified, or 

express mail to the physical address on 

record in the filer’s EDGAR account and 

the physical address of any relevant 

persons. 

(c) Nothing in this section prevents a 

filer from addressing an error or mistake 

in the filer’s submission by making a 

filer corrective disclosure. 

By the Commission. 

Dated: December 11, 2020. 

Vanessa A. Countryman, 

Secretary. 

[FR Doc. 2020–28273 Filed 2–2–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

17 CFR Part 232 

[Release Nos. 33–10902; 34–90637; 39– 

2536, IC–34137] 

Adoption of Updated EDGAR Filer 

Manual, Proposed Collection and 

Comment Request for Form ID 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Final rule. 

SUMMARY: The Securities and Exchange 

Commission (the ‘‘Commission’’) is 

adopting revisions to Volumes I and II 

of the Electronic Data Gathering, 

Analysis, and Retrieval system 

(‘‘EDGAR’’) Filer Manual (‘‘EDGAR Filer 

Manual’’ or ‘‘Filer Manual’’) and related 

rules. The revisions substantially reduce 

the length of Volume I, and amend 

Volume I and related rules under 

Regulation S–T, including provisions 

regarding electronic notarizations and 

remote online notarizations, which 

include electronic signatures. The 

revisions to Volume II reflect changes 

made to EDGAR on December 14, 2020. 

The Commission is also providing 

notice and soliciting comments on the 

Form ID collection of information 

pursuant to the Paperwork Reduction 

Act of 1995. 

DATES: Effective date: February 3, 2021. 

The incorporation by reference of the 

EDGAR Filer Manual is approved by the 

Director of the Federal Register as of 

February 3, 2021. 

Comments date: Comments regarding 

the Form ID collection of information 

requirement for purposes of the 

Paperwork Reduction Act of 1995 

should be received on or before March 

1, 2021. 

FOR FURTHER INFORMATION CONTACT: For 

questions regarding updates to the Filer 

Manual and the related rule 

amendments, please contact Rosemary 

Filou, Chief Counsel; Monica Lilly, 

Senior Special Counsel; or Jane 

Patterson, Senior Counsel; in the 

EDGAR Business Office at 202–551– 

3900, Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549. For questions 

regarding the submission form types 

allowing eligible business development 

companies and other closed-end 

investment companies to file automatic 

shelf registration statements and 

corresponding post-effective 

amendments and the submission form 

types for securities fee registration 

payments by closed-end investment 

companies, please contact Heather 

Fernandez in the Division of Investment 

Management at (202) 551–6708. For 

questions regarding the exhibits 

available for Regulation A form types, 

please contact Christian Windsor, 

Senior Special Counsel, in the Division 

of Corporation Finance at (202) 551– 

3419. For questions regarding the 

internal control over financial reporting 

(‘‘ICFR’’) auditor attestation, please 

contact Christian Windsor, Senior 

Special Counsel, in the Division of 

Corporation Finance at (202) 551–3419, 

or for questions regarding the related 

changes to the EDGAR XBRL validation, 

please contact the Office of Structured 

Disclosure in the Division of Economic 

and Risk Analysis at (202) 551–5494. 

SUPPLEMENTARY INFORMATION: We are 

adopting an updated EDGAR Filer 

Manual, Volume I: ‘‘General 

Information,’’ Version 36 (December 

2020) and Volume II: ‘‘EDGAR Filing,’’ 

Version 56 (December 2020) and 

amendments to 17 CFR 232.10 (‘‘Rule 

10’’), 17 CFR 232.12 (‘‘Rule 12’’), and 17 

CFR 232 301 (‘‘Rule 301’’) under 17 CFR 

232.10 through 232.903 (‘‘Regulation S– 

T’’). The updated Filer Manual volumes 

are incorporated by reference into the 

Code of Federal Regulations. The 

revisions substantially reduce the length 

of Volume I of the Filer Manual while 

retaining the procedural requirements 

for making electronic submissions on 

EDGAR. The Volume I revisions also 

clarify the legal consequences of 

misstatements or omissions of fact in 

EDGAR submissions, and inform filers 

of the Commission’s authority regarding 

submissions on EDGAR. The 

Commission is also amending Volume I 

of the Filer Manual and a related rule 

under Regulation S–T to allow 

applicants for EDGAR access to use 

electronic notarizations and remote 

online notarizations, which include 

electronic signatures, in addition to 

notarizations that include manual 

signatures. Moreover, the Commission is 

amending the same rule to exempt the 

notarized document requirements for 

EDGAR access from certain signature 

requirements in another rule under 

Regulation S–T. In addition, the 

Commission is amending a rule under 

Regulation S–T to reflect the 

Commission’s current hours for 

submission of electronic filings. As a 

separate matter, the Commission is 

adopting amendments to Volume II of 

the Filer Manual to reflect changes 

made to EDGAR on December 14, 2020. 

Finally, the Commission is providing 

notice and soliciting comments on the 

Form ID collection of information 

pursuant to the Paperwork Reduction 

Act of 1995. 

I. Background 

Volume I of the Filer Manual provides 

general information regarding electronic 

submissions to the Commission on 

EDGAR, including information 

concerning requirements for becoming 

an EDGAR filer.1 The Commission is 

substantially reducing the length of 

Volume I of the Filer Manual while 

retaining the procedural requirements 

for making electronic submissions on 

EDGAR. The revisions remove 

unnecessary and outdated content from 

Volume I, and relocate basic 

instructions and technical explanations 

to a newly designed web page on the 

Commission’s website. 

In addition, the Commission is: 

• Enhancing the statement in Volume 

I about the consequences of making 

false statements or omissions of fact in 

EDGAR submissions, and informing 

filers of the authority of the Commission 

to, and some of the circumstances in 

which the Commission may, prevent 

acceptance or dissemination of an 

attempted submission on EDGAR or 

revoke EDGAR access; 

• Amending Rule 10 of Regulation S– 

T2 and Volume I of the Filer Manual to 

accept electronic notarizations and 

remote online notarizations, which 

include electronic signatures, in 

addition to notarizations that include 


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Federal Register / Vol. 86, No. 21 / Wednesday, February 3, 2021 / Rules and Regulations 7969 

3See 17 CFR 232.10(c) (‘‘Rule 10(c)’’); see also 

Rule 302. 

4See 17 CFR 232.12(c) (‘‘Rule 12(c)’’). 

5 44 U.S.C. 3501 et seq. 

6See EDGAR—Information for Filers available at 

https://www.sec.gov/edgar/filer-information. The 

Commission staff has improved the architecture and 

content on the EDGAR Information for Filers web 

page, including the addition of an extensive How 

Do I guide which contains some of the information 

that previously was included in the EDGAR Filer 

Manual: Volume I ‘‘General Information,’’ Version 

35. See How Do I guide available at https://

www.sec.gov/edgar/filer-information/how-do-i. 

7For example, filers may consult the Series and 

Class (Contract) Identifiers information page on 

SEC.gov available at https://www.sec.gov/info/ 

edgar/ednews/seriesclassfaq063006.htm for 

guidance on this topic, and the Filing Fees Branch 

homepage available at https://www.sec.gov/page/ 

ffbsectionlanding for information about filing fees. 

8See EDGAR Filer Manual, Volume I, Version 35, 

Section 6.4. 

9Certain technical specifications are replicated in 

Volume II of the Filer Manual. See, e.g., EDGAR 

Filer Manual, Volume II, Version 54, Section 9. 

10See EDGAR Filer Manual, Volume I, Version 

35, Section 3.1. 

11See, e.g., Sections 11, 12(a)(2), and 17(a)(2) of 

the Securities Act of 1933. 

12See EDGAR Filer Manual, Volume I, Version 

36, Section 1. 

13See EDGAR Filer Manual, Version 36, Volume 

I, Section 1. Rule 15 specifies in more detail the 

Commission’s ability to prevent submissions to 

EDGAR. See Release No. 33–10901 (Dec. 11, 2020). 

14See Rule 10(b). 

15See EDGAR Filer Manual, Volume I, Version 

35, Section 3.2.2.2.4. 

16Currently, over 36 states have enacted 

electronic notarization laws, while 25 states have 

enacted remote online notarization laws (certain of 

the latter group of states have not yet fully 

implemented remote online notarization). In 

addition, due to the COVID–19 pandemic, 34 states 

(including several that have not yet fully 

implemented remote online notarization) have 

issued emergency orders temporarily authorizing 

notaries to perform remote online notarization. See 

What States Allow Electronic Notary, DocVerify, 

https://www.docverify.com/Products/E-Notaries/ 

What-States-Allow-Electronic-Notary; Remote 

Notarization: What You Need to Know, National 

Notary Association (November 13, 2020), https://

www.nationalnotary.org/notary-bulletin/blog/2018/ 

06/remote-notarization-what-you-need-to-know; 

Answers To Urgent Questions Notaries Are Asking 

About Remote Online Notarization, National Notary 

Association (Aug. 14, 2020), https://

www.nationalnotary.org/notary-bulletin/blog/2020/ 

03/answers-urgent-questions-notaries-ron. 

17See amended Rule 10(b) (removing the manual 

signature requirement for EDGAR access requests) 

and EDGAR Filer Manual, Volume I, Version 36, 

Section 3 (‘‘The notarized signature of an 

authorized individual must be obtained by manual, 

electronic, or remote online notarization recognized 

by the law of any state or territory of the United 

States or the District of Columbia, and must include 

a manual or electronic signature of the authorized 

individual, as required by the notary for the type 

of notarization at issue. Foreign filers who do not 

have access to a United States notary public must 

use the foreign local equivalent of a notary public 

or obtain notarization by a remote online notary 

recognized by the law of any state or territory of the 

United States or the District of Columbia.’’). Under 

the amendments, remote online notarization valid 

in any of the 50 states, United States territories, or 

the District of Columbia would be accepted, 

regardless of the location of the applicant, under the 

theory that a validated notary in any of these 

locations would suffice for federal identity 

verification purposes. 

manual signatures, to support requests 

for EDGAR access; 

• Amending Rule 10 of Regulation S– 

T to exclude the authentication 

document in Rule 10(b) from the 

signature requirements of 17 CFR 

232.302 (‘‘Rule 302’’); 3

• Amending Rule 12 of Regulation S– 

T to reflect the Commission’s current 

hours for submission of electronic 

filings and to conform to the Filer 

Manual; 4

• Making amendments to Volume II 

of the Filer Manual corresponding to the 

EDGAR updates in Release 20.4; and 

• Providing notice and soliciting 

comments on potential changes to the 

burden estimates associated with the 

Form ID collection of information 

pursuant to the Paperwork Reduction 

Act of 1995.5

II. Amendments to Volume I of the Filer 

Manual and Rule 10 of Regulation S– 

T 

The updated Volume I of the Filer 

Manual retains and streamlines 

procedural requirements pertaining to 

EDGAR filing times, access, maintaining 

accurate information, paying filing fees, 

and prohibiting submission of social 

security numbers to EDGAR. The 

updated Volume I omits extensive stepby-step instructions and elementary 

technical explanations including 

EDGAR screen shots and error messages, 

an explanation of browsers, and a 

glossary of terms. The Commission is 

making accessible, user-friendly 

instructions and information available 

to filers on the recently revised ‘‘EDGAR 

Information for Filers’’ web page on 

SEC.gov.6 Moreover, filers may consult 

relevant topical Commission division or 

office web pages.7

The Commission is also removing 

technical explanations from Volume I of 

the Filer Manual that existed to assist a 

sub-section of filers who opted to use 

private industry software to construct 

filings outside of EDGAR, including 

using the Extensible Markup Language 

(XML) format.8 These technical 

specifications are available to filers on 

the ‘‘EDGAR Information for Filers’’ web 

page on SEC.gov.9

Further, the updated Volume I of the 

Filer Manual clarifies the statement 

informing filers of the consequences of 

false statements or omissions of fact in 

submissions to EDGAR. Previously, 

Volume I only referenced potential 

criminal liability for intentionally 

making false statements or omissions of 

fact in submissions to the Commission 

in violation of 18 U.S.C. 1001.10

However, it is also possible that false 

statements or omissions of fact in 

submissions to EDGAR could give rise 

to violations of other criminal or civil 

statutes or regulations, including the 

antifraud and civil liability provisions 

of the federal securities laws.11

Accordingly, we have amended Volume 

I of the Filer Manual to make clear that 

misstatements or omissions of fact in a 

submission to the Commission on 

EDGAR may constitute a criminal 

violation under 18 U.S.C. 1001 and/or a 

violation of other criminal or civil 

laws.12 Moreover, the Commission has 

added an explicit notice to filers in 

Volume I of the authority of, and certain 

circumstances in which the Commission 

may, prevent acceptance or 

dissemination of an attempted 

submission on EDGAR or revoke 

EDGAR access.13

Rule 10 of Regulation S–T previously 

required filers to submit a manually 

signed and notarized document as part 

of the application for EDGAR access.14

Volume I further mandated that the 

filer’s authorized signatory sign and 

have notarized a printed copy of the 

completed online application.15 Since 

these provisions were adopted, 

technological advancements have made 

electronic notarization and remote 

online notarization, which include 

electronic signatures, possible, and 

electronic notarization and remote 

online notarization are now recognized 

in most states.16 These methods of 

notarization will provide an efficient 

means of authenticating signatures in 

connection with requests for EDGAR 

access and avoid the challenges 

associated with disruptions to in-person 

notary services caused by natural 

disasters, pandemics, and similar 

events. Remote online notarization in 

particular would allow filers to notarize 

EDGAR access requests from a 

convenient location using a stateregistered remote notary public. 

Therefore, the Commission is 

updating Regulation S–T and Volume I 

of the Filer Manual to clarify that the 

Commission will accept electronic 

notarization and remote online 

notarization, which include electronic 

signatures, in connection with EDGAR 

access requests submitted pursuant to 

Rule 10 of Regulation S–T.17 In 

addition, the Commission is permitting 

foreign filers to use the foreign local 

equivalent of a notary public or to 

obtain remote online notarization 

recognized by the law of any state or 


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7970 Federal Register / Vol. 86, No. 21 / Wednesday, February 3, 2021 / Rules and Regulations 

18See EDGAR Filer Manual, Volume I, Version 

36, Section 3. 19See amended Rule 10(c); see also Rule 302. 20The Commission recently amended Rule 302 to 

permit the use of electronic signatures in signature 

authentication documents required to be executed 

and retained in connection with EDGAR filings. See 

Electronic Signatures Release, supra note 1. 

Amended Rule 302 provides, among other things, 

that each signatory to an electronic filing shall 

manually or electronically sign a signature page or 

other document authenticating, acknowledging or 

otherwise adopting his or her signature that appears 

in typed form within the electronic filing 

(‘‘authentication document’’). Rule 302 further 

provides that an electronically signed 

authentication document must meet certain 

requirements set forth in the EDGAR Filer Manual 

and that each signatory who electronically signs an 

authentication document pursuant to Rule 302 must 

manually sign a document attesting that, when 

using electronic signatures for purposes of Rule 

302, the use of such electronic signature constitutes 

the legal equivalent of such individual’s manual 

signature for purposes of authenticating the 

signature to any filing for which it is provided. 

21As discussed above, Rule 10 of Regulation S– 

T provides that filers must submit a signed and 

notarized document as part of the application for 

EDGAR access. See supra note 14 and 

accompanying text. 

22See EDGAR Filer Manual, Volume I, Version 

36, Section 2 (‘‘The SEC accepts electronic 

submissions on EDGAR . . . from 6 a.m. to 10 p.m. 

Eastern Time.’’). This information was also 

included in previous versions of the Filer Manual. 

See, e.g., EDGAR Filer Manual, Version 35, Volume 

I, Section 2.2 (‘‘EDGAR accepts . . . new filings 

. . . from 6:00 a.m. to 10:00 p.m., Eastern Time.’’). 

23See Securities Offering Reform for Closed-End 

Investment Companies, Release No. 33–10771 (Apr. 

8, 2020) [85 FR 33290] (‘‘Securities Offering Reform 

Release’’). 

24See Accelerated Filer and Large Accelerated 

Filer Definitions, Release No 34–88365 (Mar. 12, 

2020) [85 FR 17178]. 

25See Financial Disclosures about Guarantors and 

Issuers of Guaranteed Securities and Affiliates 

Whose Securities Collateralize a Registrant’s 

Securities, Release No. 33–10762 (Mar. 2, 2020) [85 

FR 21940]. 

territory of the United States or the 

District of Columbia.18

Finally, we are revising Rule 10 to 

exclude the authentication document 

required by Rule 10 from the signature 

requirements of Rule 302 of Regulation 

S–T.19 Among other things, Rule 302 

requires signatures to any electronic 

submission to be in typed form, rather 

than manual format, and provides 

various signature authentication 

requirements related to typed 

signatures.20 Since Rule 10 currently 

requires filers to submit a manually 

signed authentication document, that 

authentication document is not subject 

to the requirements of Rule 302. 

However, since as discussed above we 

are removing the manual signature 

requirement from Rule 10 to permit 

electronic notarization and remote 

online notarization, which include 

electronic signatures, the authentication 

document required by Rule 10 would be 

subject to Rule 302’s signature 

authentication requirements unless 

excluded from its provisions. Since Rule 

10 already provides separate signature 

authentication requirements,21 we do 

not believe it is necessary to require 

filers seeking EDGAR access to comply 

with the signature authentication 

requirements of both Rule 10 and Rule 

302. 

III. Amendments to Rule 12, Regulation 

S–T 

The Commission is amending Rule 

12(c) of Regulation S–T to reflect that 

electronic filings and other documents 

may be submitted ‘‘from 6 a.m. to 10 

p.m., Eastern Time’’ instead of ‘‘by 

direct transmission, via dial-up modem 

or internet . . . from 8 a.m. to 10 p.m., 

Eastern Standard Time or Daylight 

Saving Time, whichever is currently in 

effect.’’ We are removing an antiquated 

and unnecessary reference to the 

method of submission and adjusting the 

filing times to reflect the Commission’s 

current practice and the correct filing 

times set forth in the Filer Manual.22

IV. Edgar Release 20.4 and 

Amendments to Volume II of the Filer 

Manual 

EDGAR was updated in Release 20.4, 

and corresponding amendments to 

Volume II of the Filer Manual are being 

made to reflect these changes, described 

below. 

On April 8, 2020, the Commission 

adopted rules to modify the registration, 

communications, and offering processes 

for business development companies 

and other closed-end investment 

companies including allowing such 

eligible entities to file automatic shelf 

registration statements (ASRs) and 

corresponding post-effective 

amendments (POSASRs).23 EDGAR 

Release 20.4 adds the following new 

submission form types: N–2ASR: 

Automatic shelf registration statement 

on Form N–2 for well-known seasoned 

issuers; and N–2 POSASR: Post-effective 

amendment to an automatic shelf 

registration statement on Form N–2 for 

well-known seasoned issuers. EDGAR 

Release 20.4 also adds new header data 

elements to the following submission 

form types: N–2, N–2/A, N–2MEF, POS 

8C, 486APOS, 486BPOS, and 486BXT. 

In the Securities Offering Reform 

Release, the Commission also adopted 

amendments to modernize its approach 

to securities fee registration payment by 

requiring closed-end investment 

companies that operate as ‘‘interval 

funds’’ to pay securities registration fees 

using the same method as mutual funds 

and exchange-traded funds. EDGAR 

Release 20.4 adds a new header data 

element to the following submission 

form types: N–2, N–2/A, N–14 8C, N–14 

8C/A, and N–14MEF. EDGAR Release 

20.4 also allows filers to itemize share 

class information on submission form 

types 24F–2NT and 24F–2NT/A, when 

the investment company type is ‘‘N–2.’’ 

See Chapter 3 (Index to Forms), Chapter 

4 (Filing Fee Information), Chapter 7 

(Preparing and Transmitting 

EDGARLink Online Submissions), 

Appendix A (Messages Reported by 

EDGAR), and Appendix C (EDGAR 

Submission Types) of the EDGAR Filer 

Manual, Volume II: ‘‘EDGAR Filing.’’ 

On March 12, 2020, the Commission 

adopted a requirement that issuers 

include a check box on the cover page 

of their Forms 10–K, 20–F, and 40–F 

annual reports to disclose whether they 

have obtained an ICFR auditor 

attestation under section 404(b) of the 

Sarbanes-Oxley Act.24 EDGAR Release 

20.4 updates the EDGAR XBRL 

validation to require an ICFR auditor 

attestation flag on the following 

submission form types: 10–K, 10–K/A, 

10–KT, 10–KT/A, 20–F, 20–F/A, 40–F, 

and 40–F/A. This flag is a part of the 

XBRL DEI–2020 Taxonomy. See Chapter 

6 (Interactive Data) of the EDGAR Filer 

Manual, Volume II: ‘‘EDGAR Filing.’’ 

On March 2, 2020, the Commission 

adopted amendments to the financial 

disclosure requirements for guarantors 

and issuers of guaranteed securities 

registered or being registered, and added 

a new exhibit requirement for Securities 

Act of 1933 registration statements and 

Securities Exchange Act of 1934 

periodic reports, as well as Regulation A 

offering statements and reports, to 

improve those requirements for both 

investors and registrants.25 The 

amendments made new exhibits 

available for Regulation A form types to 

permit filers to identify subsidiaries that 

provide guarantees. Filers have the 

option to attach these new exhibits 

officially in HTML or ASCII format (and 

unofficially in PDF format). 

Accordingly, EDGAR Release 20.4 adds 

the following new exhibits: 

• ‘‘EX1A–17 GNTR/ISSR’’ on form 

types DOS, DOS/A, 1–A, 1–A/A, and 1– 

A POS; 

• ‘‘EX1K–17 GNTR/ISSR’’ on form 

types 1–K and 1–K/A; 

• ‘‘EX1SA–17 GNTR/ISSR’’ on form 

types 1–SA and 1–SA/A; 

• ‘‘EX1U–17 GNTR/ISSR’’ on form 

types 1–U and 1–U/A; and 

• ‘‘ADD EXHB’’ on form types DOS, 

DOS/A, 1–A, 1–A/A, 1–A POS, 1–K, 1– 

K/A, 1–SA, 1–SA/A, 1–U, and 1–U/A. 

To simplify future updates to the 

exhibits for these forms, EDGAR Release 

20.4 adds ‘‘ADD EXHB’’ on form types 

DOS, DOS/A, 1–A, 1–A/A, 1–A POS, 1– 


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26 5 U.S.C. 553(b)(A). 

27 5 U.S.C. 601–612. 

28 5 U.S.C. 804(3)(C). 29 5 U.S.C. 553(d)(3). 

30 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a). 

31 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78o–4, 78w, 

and 78ll. 

32 15 U.S.C. 77sss. 

K, 1–K/A,1–SA, 1–SA/A, 1–U, and 1–U/ 

A. The ‘‘ADD EXHB’’ exhibit will 

replace the EX1A–15 ADD EXHB, 

EX1K–15 ADD EXHB, EX1SA–15 ADD 

EXHB, and EX1U15 ADD EXHB 

exhibits. To implement the change, 

EDGAR Release 20.4 removes the 

following exhibits: 

• ‘‘EX1A–15 ADD EXHB’’ from DOS, 

DOS/A, 1–A, 1–A/A, and 1–A POS form 

types; 

• ‘‘EX1K–15 ADD EXHB’’ from 1–K 

and 1–K/A form types; 

• ‘‘EX1SA–15 ADD EXHB’’ from 1– 

SA and 1–SA/A form types; and 

• ‘‘EX1U–15 ADD EXHB’’ from 1–U 

and 1–U/A form types. 

See Appendix E (Automated 

Conformance Rules for EDGAR Data 

Fields) of the EDGAR Filer Manual, 

Volume II: ‘‘EDGAR Filing.’’ 

Finally, Volume II of the EDGAR Filer 

Manual has been revised to update 

contact information for certain divisions 

and offices. See Chapter 2 (Quick Guide 

to EDGAR Filing) of the EDGAR Filer 

Manual, Volume II: ‘‘EDGAR Filing.’’ 

V. Amendments to Rule 301, Regulation 

S–T 

Along with the adoption of the 

updated Filer Manual, we are amending 

Rule 301 of Regulation S–T to provide 

for the incorporation by reference into 

the Code of Federal Regulations of the 

current revisions. This incorporation by 

reference was approved by the Director 

of the Federal Register in accordance 

with 5 U.S.C. 552(a) and 1 CFR part 51. 

The updated EDGAR Filer Manual is 

available at https://www.sec.gov/edgar/ 

filer-information/current-edgar-filermanual. The EDGAR Filer Manual is 

also available for website viewing and 

printing in the Commission’s Public 

Reference Room, 100 F Street NE, 

Washington, DC 20549, on official 

business days between the hours of 10 

a.m. and 3 p.m. 

VI. Administrative Law Matters 

Because the Filer Manual and rule 

amendments relate solely to agency 

procedures or practice and do not 

substantially alter the rights and 

obligations of non-agency parties, 

publication for notice and comment is 

not required under the Administrative 

Procedure Act (‘‘APA’’).26 It follows that 

the amendments do not require analysis 

under requirements of the Regulatory 

Flexibility Act 27 or a report to Congress 

under the Small Business Regulatory 

Fairness Act.28

The effective date for the updated 

Filer Manual and the related rules is 

February 3, 2021. In accordance with 

the APA,29 we find that there is good 

cause to establish an effective date less 

than 30 days after publication of these 

rules. For the revisions to Volume I of 

the Filer Manual, the changes that we 

are adopting today do not impose new 

burdens. The Volume I revisions retain 

the procedural requirements for making 

electronic submissions on EDGAR. The 

revisions remove unnecessary and 

outdated content from the Filer Manual 

and relocate elementary instructions 

and explanations to a web page on the 

Commission’s website. Additionally, the 

Volume I revisions clarify the message 

in the Filer Manual concerning the 

consequences of making false 

statements or omissions of fact in 

EDGAR submissions, and inform filers 

of the Commission’s authority regarding 

submissions on EDGAR. The Volume I 

revisions and related rule amendments 

generally relieve restrictions by 

incorporating the acceptance of 

electronic notarizations and remote 

online notarizations, which include 

electronic signatures, in addition to 

manual signatures and manual 

notarizations, to support requests for 

EDGAR access. For the revisions to 

Volume II of the Filer Manual, the 

Commission believes that establishing 

an effective date less than 30 days after 

publication of these rules is necessary to 

coordinate the effectiveness of the 

updated Volume II of the Filer Manual 

with the related system upgrades. We 

therefore believe that the advance 

publication of the updated Filer Manual 

and the related rules prior to the 

effective date is unnecessary. 

VII. Proposed Collection and Comment 

Request for Form ID 

Notice is hereby given that, pursuant 

to the Paperwork Reduction Act of 1995 

(44 U.S.C. 3501 et seq.), the Commission 

is soliciting comments on the collection 

of information summarized below. The 

Commission plans to submit this 

existing collection of information to the 

Office of Management and Budget for 

extension and approval. 

Form ID (OMB Control No. 3235– 

0328) must be completed and filed with 

the Commission by all individuals, 

companies, and other organizations who 

seek access to file electronically on the 

Commission’s primary electronic filing 

system, EDGAR. Those seeking access to 

file on EDGAR typically include those 

who are required to make certain 

disclosures pursuant to the federal 

securities laws. The information 

provided on Form ID is an essential part 

of the security of EDGAR. Form ID is a 

not a public document because it is 

used solely for the purpose of screening 

applicants and granting access to 

EDGAR. Form ID must be submitted 

whenever an applicant seeks an EDGAR 

identification number and access codes 

to file on EDGAR. The Commission may 

consider enhancing the EDGAR access 

process to require filers that already 

have EDGAR identification numbers but 

do not have EDGAR access codes to 

submit a Form ID to obtain access codes 

to file on EDGAR. If these enhancements 

become effective, we estimate that 

approximately 48,493 filers will file 

Form ID annually and that it will take 

approximately 0.15 hours per response 

to prepare for a total of 7,274 annual 

burden hours. The estimate includes the 

number of filers without identification 

numbers and filers with identification 

numbers that seek to obtain access 

codes for purposes of submitting 

electronic filings on EDGAR. 

An agency may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

unless it displays a currently valid 

control number. 

Written comments are invited on: (i) 

Whether this proposed collection of 

information is necessary for the proper 

performance of the functions of the 

agency, including whether the 

information will have practical utility; 

(ii) the accuracy of the agency’s estimate 

of the burden imposed by the collection 

of information; (iii) ways to enhance the 

quality, utility, and clarity of the 

information collected; and (iv) ways to 

minimize the burden of the collection of 

information on respondents, including 

through the use of automated collection 

techniques or other forms of information 

technology. Consideration will be given 

to comments and suggestions submitted 

in writing. 

Please direct your written comments 

to David Bottom, Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o Cynthia 

Roscoe, 100 F Street NE, Washington, 

DC 20549 or send an email to: PRA_

Mailbox@sec.gov. 

VIII. Statutory Basis 

We are adopting the amendments to 

Regulation S–T under the authority in 

Sections 6, 7, 8, 10, and 19(a) of the 

Securities Act of 1933,30 Sections 3, 12, 

13, 14, 15, 15B, 23, and 35A of the 

Securities Exchange Act of 1934,31

Section 319 of the Trust Indenture Act 

of 1939,32 and Sections 8, 30, 31, and 38 


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7972 Federal Register / Vol. 86, No. 21 / Wednesday, February 3, 2021 / Rules and Regulations 

33 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37. 

of the Investment Company Act of 

1940.33

List of Subjects in 17 CFR Part 232 

Incorporation by reference, Reporting 

and recordkeeping requirements, 

Securities. 

Text of the Amendments 

In accordance with the foregoing, title 

17, chapter II of the Code of Federal 

Regulations is amended as follows: 

PART 232—REGULATION S–T— 

GENERAL RULES AND REGULATIONS 

FOR ELECTRONIC FILINGS 

■ 1. The general authority citation for 

part 232 continues to read as follows: 

Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 

77j, 77s(a), 77z–3, 77sss(a), 78c(b), 78l, 78m, 

78n, 78o(d), 78w(a), 78ll, 80a–6(c), 80a–8, 

80a–29, 80a–30, 80a–37, 7201 et seq.; and 18 

U.S.C. 1350, unless otherwise noted. 

* * * * * 

■ 2. Amend § 232.10 by revising 

paragraph (b)(2) and adding paragraph 

(c) to read as follows: 

§ 232.10 Application of part 232. 

* * * * * 

(b) * * * 

(2) File, by uploading as a Portable 

Document Format (PDF) attachment to 

the Form ID filing, a notarized 

document, signed by the applicant, that 

includes the information required to be 

included in the Form ID filing and 

confirms the authenticity of the Form ID 

filing. 

(c) The requirements of § 232.302 

(Rule 302) do not apply to the notarized 

document required by paragraph (b)(2) 

of this section. 

* * * * * 

■ 3. Amend § 232.12 by revising 

paragraph (c) to read as follows: 

§ 232.12 Business hours of the 

Commission. 

* * * * * 

(c) Submissions by direct 

transmission. Electronic filings and 

other documents may be submitted to 

the Commission each day, except 

Saturdays, Sundays, and Federal 

holidays, from 6 a.m. to 10 p.m., Eastern 

Time. 

■ 4. Revise § 232.301 to read as follows: 

§ 232.301 EDGAR Filer Manual. 

Filers must prepare electronic filings 

in the manner prescribed by the EDGAR 

Filer Manual, promulgated by the 

Commission, which sets forth the 

technical formatting requirements for 

electronic submissions. The 

requirements for becoming an EDGAR 

Filer and updating company data are set 

forth in the updated EDGAR Filer 

Manual, Volume I: ‘‘General 

Information,’’ Version 36 (December 

2020). The requirements for filing on 

EDGAR are set forth in the updated 

EDGAR Filer Manual, Volume II: 

‘‘EDGAR Filing,’’ Version 56 (December 

2020). All of these provisions have been 

incorporated by reference into the Code 

of Federal Regulations, which action 

was approved by the Director of the 

Federal Register in accordance with 5 

U.S.C. 552(a) and 1 CFR part 51. You 

must comply with these requirements in 

order for documents to be timely 

received and accepted. The EDGAR 

Filer Manual is available at https://

www.sec.gov/edgar/filer-information/ 

current-edgar-filer-manual. The EDGAR 

Filer Manual is also available for 

website viewing and printing in the 

Commission’s Public Reference Room, 

100 F Street NE, Washington, DC 20549, 

on official business days between the 

hours of 10 a.m. and 3 p.m. You can 

also inspect the document at the 

National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at NARA, email fedreg.legal@

nara.gov, or go to: https://

www.archives.gov/federal-register/cfr/ 

ibr-locations.html. 

By the Commission. 

Dated: December 11, 2020. 

Vanessa A. Countryman, 

Secretary. 

[FR Doc. 2021–00381 Filed 2–2–21; 8:45 am] 

BILLING CODE 8011–01–P 

DEPARTMENT OF HOMELAND 

SECURITY 

Coast Guard 

33 CFR Part 165 

[Docket Number USCG–2020–0630] 

RIN 1625–AA00 

Safety Zone; Bahia de Ponce, Ponce, 

PR 

AGENCY: Coast Guard, DHS. 

ACTION: Final rule. 

SUMMARY: The Coast Guard is 

establishing a permanment safety zone 

for certain waters of Bahia de Ponce, 

Ponce, Puerto Rico. This action is 

necessary to provide for the safety of life 

on these navigable waters during shipto-ship liquefied gas transfer operations 

between liquefied gas carriers. This rule 

will prohibit persons and vessels from 

being in the safety zone when activated 

unless authorized by the Captain of the 

Port San Juan or a designated 

representative. 

DATES: This rule is effective March 5, 

2021. 

ADDRESSES: To view documents 

mentioned in this preamble as being 

available in the docket, go to https://

www.regulations.gov, type USCG–2020– 

0630 in the ‘‘SEARCH’’ box and click 

‘‘SEARCH.’’ Click on Open Docket 

Folder on the line associated with this 

rule. 

FOR FURTHER INFORMATION CONTACT: If 

you have questions on this rule, call or 

email Lieutenant Natallia Lopez, Sector 

San Juan Prevention Department, 

Waterways Management Division, U.S. 

Coast Guard; telephone 787–729–2380, 

email ssjwwm@uscg.mil. 

SUPPLEMENTARY INFORMATION: 

I. Table of Abbreviations 

CFR Code of Federal Regulations 

COTP Captain of the Port 

DHS Department of Homeland Security 

FR Federal Register 

LG Liquefied Gas 

LNG Liquefied Natural Gas 

NPRM Notice of proposed rulemaking 

PR Puerto Rico 

§ Section 

U.S.C. United States Code 

II. Background Information and 

Regulatory History 

On April 20, 2020, New Fortress 

Energy requested to begin conducting 

ship-to-ship liquefied natural gas (LNG) 

transfer operations in a location 

approximately three nautical miles 

south of Ponce, Puerto Rico (PR). Coast 

Guard Sector San Juan engaged with 

local stakeholders and determined the 

proposed location could accommodate 

regular anchoring and ship-to-ship 

liquefied gas (LG) transfer operations 

between LG carriers. The Captain of the 

Port San Juan (COTP) has determined 

that potential hazards associated with 

ship-to-ship LG transfer operations 

between LG carriers would be a safety 

concern for anyone within 100-yards of 

the location of the transfer operations. 

In response, on December 1, 2020, the 

Coast Guard published a notice of 

proposed rulemaking (NPRM) titled 

‘‘Safety Zone; Bahia de Ponce, Ponce, 

PR’’ (85 FR 77093). There we stated why 

we issued the NPRM, and invited 

comments on our proposed regulatory 

action related to this fireworks display. 

During the comment period that ended 

December 31, 2020 we received no 

comments. 


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