[Federal Register Volume 62, Number 149 (Monday, August 4, 1997)]
[Rules and Regulations]
[Pages 41841-41842]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-20413]


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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 232

[Release Nos. 33-7432; 34-38883; 35-26747; 39-2356; IC-22769]
RIN 3235-AG96


Adoption of Updated EDGAR Filer Manual

AGENCY: Securities and Exchange Commission.

ACTION: Final rules.

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SUMMARY: The Commission is adopting an updated edition of the EDGAR 
Filer Manual and is providing for its incorporation by reference into 
the Code of Federal Regulations.

DATES: The amendment to 17 CFR part 232 (Regulation S-T) will be 
effective on August 25, 1997. The new edition of the EDGAR Filer Manual 
(Release 5.30) will be effective on August 25, 1997. The incorporation 
by reference of the EDGAR Filer Manual is approved by the Director of 
the Federal Register as of August 25, 1997.

FOR FURTHER INFORMATION CONTACT: In the Office of Information 
Technology, David T. Copenhafer at (202) 942-8800; for questions 
concerning investment company filings, Ruth Armfield Sanders, Senior 
Counsel, Division of Investment Management, at (202) 942-0633; and for 
questions concerning Corporation Finance company filings, Margaret R. 
Black at (202) 942-2933.

SUPPLEMENTARY INFORMATION: The Commission today announces the adoption 
of an updated EDGAR Filer Manual (``Filer Manual''), which sets forth 
the technical formatting requirements governing the preparation and 
submission of electronic filings through the Electronic Data Gathering, 
Analysis, and Retrieval (``EDGAR'') system.<SUP>1</SUP> Compliance with 
the provisions of the Filer Manual is required in order to assure the 
timely acceptance and processing of filings made in electronic 
format.<SUP>2</SUP> Filers should consult the Filer Manual in 
conjunction with the Commission's rules governing mandated electronic

[[Page 41842]]

filing when preparing documents for electronic submission.<SUP>3</SUP>
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    \1\ The Filer Manual originally was adopted on April 1, 1993, 
and became effective on April 26, 1993. Release No. 33-6986 (Apr. 1, 
1993) (58 FR 18638). The most recent update to the Filer Manual was 
implemented on April 14, 1997. See Release Nos. 33-7394 (Feb. 21, 
1997) (62 FR 8877), 33-7405 (Mar. 19, 1997) (62 FR 13820), and 33-
7411 (Apr. 2, 1997) (62 FR 16690).
    \2\ See Rule 301 of Regulation S-T (17 CFR 232.301).
    \3\ See Release Nos. 33-6977 (Feb. 23, 1993) (58 FR 14628), IC-
19284 (Feb. 23, 1993) (58 FR 14848), 35-25746 (Feb. 23, 1993) (58 FR 
14999), and 33-6980 (Feb. 23, 1993) (58 FR 15009) for a 
comprehensive treatment of the rules adopted by the Commission 
governing mandated electronic filing. See also Release No. 33-7122 
(Dec. 19, 1994) (59 FR 67752), in which the Commission made the 
EDGAR rules final and applicable to all domestic registrants, and 
Release No. 33-7427 (July 1, 1997) (62 FR 36450), adopting the most 
recent minor amendments to the EDGAR rules.
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    In this update, several submission types have been added. First, 
EDGAR submission types 13F-HR, 13F-HR/A, 13F-NT, and 13F-NT/A have been 
added. These submission types will accommodate the electronic 
submission of reports on Form 13F <SUP>4</SUP> in the event that the 
Commission amends its rules to require mandatory electronic filing of 
Form 13F.<SUP>5</SUP>
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    \4\ 17 CFR 249.325.
    \5\ See Release No. 34-38800 (July 1, 1997) (62 FR 36467), in 
which the Commission proposed to require electronic filling of Form 
13F via the EDGAR system.
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    Also added are EDGAR submission types U-9C-3 and U-9C-3/A. These 
submission types are to be used by public utility holding companies for 
the submission of Form U-9C-3, Report Pursuant to Rule 58.<SUP>6</SUP>
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    \6\ 17 CFR 259.208. See Release No. 35-26667 (Feb. 14, 1997) (62 
FR 7900). ab
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    Finally, a new submission has been added to accommodate electronic 
submissions of certain filings by companies whose filings are within 
the purview of the Division of Corporation Finance. Submission type POS 
EX has been added to reflect the Commission's recent adoption of Rule 
462(d) under the Securities Act of 1933. This rule will permit 
automatic effectiveness of a post-effective amendment filed solely to 
add an exhibit.
    The following submission types have been eliminated from EDGAR: 10-
C, 10-C/A, 486A24E, 486A24F, 486B24E, 48624F, 8-B12B, 8-B12B/A, 8-B12G, 
8-B12G/A, 8A12BEF, 8A12BT, and 8A12BT/A.
    Rule 301 of Regulation S-T also is being amended to provide for the 
incorporation by reference of the Filer Manual into the Code of Federal 
Regulations, which 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 revised Filer Manual and the amendment to Rule 301 
will be effective on August 25, 1997.
    Paper copies of the updated Filer Manual may be obtained at the 
following address: Public Reference Room, U.S. Securities and Exchange 
Commission, Mail Stop 1-2, 450 Fifth Street, NW., Washington DC 20549. 
Electronic format copies will be available on the EDGAR electronic 
bulletin board. Copies also may be obtained from Disclosure 
Incorporated, the paper and microfiche contractor for the Commission, 
at (800) 638-8241.
    Since the Filer Manual relates solely to agency procedure or 
practice, publication for notice and comment is not required under the 
Administrative Procedure Act.<SUP>7</SUP> It follows that the 
requirements of the Regulatory Flexibility Act <SUP>8</SUP> do not 
apply.
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    \7\ 5 U.S.C. 601-612.
    \8\ 5 U.S.C. 553(b).
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    The effective date for the updated Filer Manual and the rule 
amendment is on August 25, 1997. In accordance with the Administrative 
Procedure Act 5 U.S.C. 553(d)(3), the Commission finds that there is 
good cause to establish an effective date less than 30 days after 
publication of these rules. The EDGAR system is scheduled to be 
upgraded to Release 5.30 on August 23, 1997. The Commission believes 
that it is necessary to coordinate the effectiveness of the updated 
Filer Manual with the scheduled system upgrade in order to avoid 
confusion to EDGAR filers.

Statutory Basis

    The amendment to Regulation S-T is being adopted under sections 6, 
7, 8, 10, and 19(a) of the Securities Act of 1933,<SUP>9</SUP> sections 
3, 12, 13, 14, 15, 23, and 35A of the Securities Exchange Act of 
1934,<SUP>10</SUP> section 20 of the Public Utility Holding Company Act 
of 1935,<SUP>11</SUP> section 319 of the Trust Indenture Act of 
1939,<SUP>12</SUP> and sections 8, 30, 31, and 38 of the Investment 
Company Act.<SUP>13</SUP>
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    \9\ 15 U.S.C. 77f, 77g, 77h, 77j and 77s(a).
    \10\ 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w and 78ll.
    \11\ 15 U.S.C. 79t.
    \12\ 15 U.S.C. 77sss.
    \13\ 15 U.S.C. 80a-8, 80a-29, 80a-30 and 80a-37.
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List of Subjects in 17 CFR Part 232

    Incorporation by reference; Investment companies; Registration 
requirements; Reporting and recordkeeping requirements; Securities.

Text of the Amendment

    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 authority citation for part 232 continues to read as 
follows:

    Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 77sss(a), 
78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll(d), 79t(a), 80a-8, 80a-
29, 80a-30 and 80a-37.

    2. Section 232.301 is revised to read as follows:


Sec. 232.301  EDGAR Filer Manual.

    Electronic filings shall be prepared in the manner prescribed by 
the EDGAR Filer Manual, promulgated by the Commission, which sets out 
the technical formatting requirements for electronic submissions. The 
August 1997 edition of the EDGAR Filer Manual: Guide for Electronic 
Filing with the U.S. Securities and Exchange Commission (Release 5.30) 
is incorporated into the Code of Federal Regulations by reference, 
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. Compliance with the 
requirements found therein is essential to the timely receipt and 
acceptance of documents filed with or otherwise submitted to the 
Commission in electronic format. Paper copies of the EDGAR Filer Manual 
may be obtained at the following address: Public Reference Room, U.S. 
Securities and Exchange Commission, Mail Stop 1-2, 450 5th Street, NW., 
Washington, DC 20549. They also may be obtained from Disclosure 
Incorporated by calling (800) 638-8241. Electronic format copies are 
available through the EDGAR electronic bulletin board. Information on 
becoming an EDGAR E-mail/electronic bulletin board subscriber is 
available by contacting CompuServe Inc. at (800) 576-4247.

    By the Commission.

    Dated: July 29, 1997.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 97-20413 Filed 8-1-97; 8:45 am]
BILLING CODE 8010-01-P