This section of the FEDERAL REGISTER

contains regulatory documents having general

applicability and legal effect, most of which

are keyed to and codified in the Code of

Federal Regulations, which is published under

50 titles pursuant to 44 U.S.C. 1510.

The Code of Federal Regulations is sold by

the Superintendent of Documents.

Rules and Regulations Federal Register

33119 

Vol. 83, No. 137 

Tuesday, July 17, 2018 

1We originally adopted the Filer Manual on April 

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

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

We implemented the most recent update to the Filer 

Manual on April 25, 2018. See Release No. 33– 

10486 (April 25, 2018) [83 FR 22190]. 

2See Rule 301 of Regulation S–T (17 CFR 

232.301). 

3See Release No. 33–10486. 

SECURITIES AND EXCHANGE 

COMMISSION 

17 CFR Part 232 

[Release Nos. 33–10518; 34–83614; 39– 

2521; IC–33153] 

Adoption of Updated EDGAR Filer 

Manual 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Final rule. 

SUMMARY: The Securities and Exchange 

Commission (the ‘‘Commission’’) is 

adopting revisions to the Electronic Data 

Gathering, Analysis, and Retrieval 

System (‘‘EDGAR’’) Filer Manual and 

related rules. The EDGAR system is 

scheduled to be upgraded on July 9, 

2018. 

DATES: Effective July 17, 2018. The 

incorporation by reference of the 

EDGAR Filer Manual is approved by the 

Director of the Federal Register as of 

July 17, 2018. 

FOR FURTHER INFORMATION CONTACT: In 

the Division of Investment Management, 

for questions concerning Forms N–CSR 

or N–CSRS, contact Heather Fernandez 

at (202) 551–6708. In the Division of 

Trading and Markets, for questions 

concerning Form Funding Portal, 

contact Timothy White at (202) 551– 

7232. In the Office of Municipal 

Securities, for questions regarding 

Forms MA and MA–I, contact Ahmed A. 

Abonamah at (202) 551–3887. In the 

Division of Corporation Finance, for 

questions concerning the Form ABS– 

15G, Form C, and Form D, contact 

Heather Mackintosh at (202) 551–8111. 

In the Division of Economic and Risk 

Analysis, for questions concerning 

retired taxonomies and the updated 

2018 IFRS taxonomy, contact Brian 

Hankin at (202) 551–8497. 

SUPPLEMENTARY INFORMATION: We are 

adopting an updated EDGAR Filer 

Manual, Volume II. The Filer Manual 

describes the technical formatting 

requirements for the preparation and 

submission of electronic filings through 

the EDGAR system.1 It also describes 

the requirements for filing using 

EDGARLink Online and the Online 

Forms/XML website. 

The revisions to the Filer Manual 

reflect changes within Volume II, 

entitled EDGAR Filer Manual, Volume 

II: ‘‘EDGAR Filing,’’ Version 47 (July 

2018). The updated manual will be 

incorporated by reference into the Code 

of Federal Regulations. 

The Filer Manual contains all the 

technical specifications for filers to 

submit filings using the EDGAR system. 

Filers must comply with the applicable 

provisions of the Filer Manual in order 

to assure the timely acceptance and 

processing of filings made in electronic 

format.2 Filers should consult the Filer 

Manual in conjunction with our rules 

governing mandated electronic filing 

when preparing documents for 

electronic submission. 

The EDGAR System and Filer Manual 

will be updated in Release 18.2 and will 

reflect the changes described below. 

Release No. 33–10486 amended 

Forms Funding Portal, Form MA, Form 

MA–I, and Form MSD to eliminate the 

portions of such forms that requested 

filers furnish certain sensitive 

personally identifiable information 

(‘‘PII’’) of natural persons, including 

Social Security numbers, foreign 

identity numbers, dates of birth, and 

places of birth.3 In Release 18.2, the 

EDGAR filer interface will be revised to 

include new ‘‘pop-up’’ messages, which 

will warn filers not to provide such 

sensitive PII. These changes further 

support the revisions to the 

aforementioned forms. Pop-up messages 

will also instruct filers on how to 

complete the required fields using a 

numeric placeholder or CRD number 

placeholder in lieu of certain sensitive 

PII in specified fields on submission 

form types MA, MA–A, MA/A, MA–I, 

and MA–I/A and on the Form Funding 

Portal landing page. Corresponding 

changes have been made to Chapter 8 

(Preparing and Transmitting Online 

Submissions) of the EDGAR Filer 

Manual, Volume II. 

EDGAR will be revised to add the new 

exhibit ‘‘EX–99. IND PUB ACCT 

(Change of Independent Public 

Accountant)’’ for submission form types 

N–CSR, N–CSR/A, N–CSRS and N– 

CSRS/A. The new exhibit will allow 

registrants to report a change in their 

independent public accountant. 

Corresponding changes have been made 

to Appendix E (Automated 

Conformance Rules for EDGAR Data 

Fields) of the EDGAR Filer Manual, 

Volume II. 

EDGAR will be revised to update 

submission form types ABS–15G and 

ABS–15G/A to remove ‘‘Issuing Entity 

Name’’ for the Registered Entity field in 

Items 2.01 and 2.02 and to remove 

‘‘Issuing Entity CIK’’ from the 

Unregistered Entity field in Item 2.01 

and from the Unregistered Entity under 

Rule 15Ga–2 field in Item 2.02. The 

revisions are designed to improve 

validation of filer identification header 

tag information by removing 

unnecessary header tag fields associated 

with these submission types. For further 

information, please see the 

‘‘EDGARLink Online XML Technical 

Specification document’’ available on 

the SEC’s public website at https://

www.sec.gov/oit/Article/info-edgar-techspecs.html. Corresponding changes have 

been made to Chapter 7 (Preparing and 

Transmitting EDGARLink Online 

Submissions) and Appendix A 

(Messages Reported by EDGAR) of the 

EDGAR Filer Manual, Volume II. 

EDGAR will be revised to update 

submission form types C, C/A, C–AR, 

C–AR/A, and C–TR to provide filers 

with an error message if they do not 

adhere to the EDGAR file naming 

standards specified in Chapter 5 

(Constructing Attached Documents and 

Document Types) of the EDGAR Filer 

Manual, Volume II. In addition, 

submission form types C, C/A, C–A, C– 

AR, C–AR/A and C–U will be updated 

to allow filers to input a decimal value 

in the ‘‘Current Employees’’ field to 

denote any part-time employees. 

Corresponding changes have been made 

to Chapter 8 (Preparing and 

Transmitting Online Submissions) of 

the EDGAR Filer Manual, Volume II. 

EDGAR will be revised to update 

submission form types D and D/A to 

increase the character limits from 150 to 

200 characters for the following fields: 


daltland on DSKBBV9HB2PROD with RULES
33120 Federal Register / Vol. 83, No. 137 / Tuesday, July 17, 2018 / Rules and Regulations 

4 5 U.S.C. 553(b)(A). 

5 5 U.S.C. 601–612. 

6 5 U.S.C. 553(d)(3). 

7 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a). 

8 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78o–4, 78w, 

and 78ll. 

9 15 U.S.C. 77sss. 

10 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37. 

‘‘Last Name’’ under Item 3: Related 

Persons; ‘‘Recipient’’ under Item 12: 

Sales Compensation; and ‘‘(Associated) 

Broker or Dealer’’ under Item 12: Sales 

Compensation. For further information, 

please see the ‘‘EDGAR Form D XML 

Technical Specification’’ document 

available on the SEC’s public website at 

https://www.sec.gov/oit/Article/infoedgar-tech-specs.html. Corresponding 

changes have been made to Chapter 8 

(Preparing and Transmitting Online 

Submissions) of the EDGAR Filer 

Manual, Volume II. 

The EDGAR system will be updated to 

remove, and will no longer accept, the 

following submission form types: F–9, 

F–9/A, F–9POS, F–9EF, N–MFP, N– 

MFP/A, N–MFP1, N–MFP1/A, 497K1, 

497K2, 497K3A, and 497K3B. These 

submission types either allow for filing 

of forms that have been rescinded by 

prior Commission action, or have been 

replaced by newer submission form 

types and are now obsolete. 

Corresponding changes have been made 

to Chapter 2 (Quick Guide to EDGAR 

Filing), Chapter 3 (Index to Forms), 

Chapter 4 (Filing Fee Information), 

Chapter 6 (Interactive Data), Chapter 8 

(Preparing and Transmitting Online 

Submissions), and Appendix C (EDGAR 

Submission Types) of the EDGAR Filer 

Manual, Volume II. 

The EDGAR system will be upgraded 

to remove the following taxonomies, 

which have been superseded: US– 

GAAP–2016, DEI–2013, DEI–2009, 

EXCH–2016, and RR–2010. The EDGAR 

system will be updated to reflect the 

2018 version of the IFRS taxonomy. For 

further information please refer to the 

SEC’s public website at https://

www.sec.gov/info/edgar/ 

edgartaxonomies.shtml. 

Chapter 5 (Constructing Attached 

Documents and Document Types) of the 

EDGAR Filer Manual, Volume II will be 

updated to provide clarifying 

instructions regarding the use of, and 

submission requirements for, PDF 

documents for specified submission 

form types. The EDGAR Filer Manual 

will also be revised to make clarifying 

changes to certain instructions by 

removing references to an application 

tool used to read XBRL data. The tool 

is no longer supported on sec.gov. 

Finally, the EDGAR Filer Manual will 

include revised instructions that clarify 

how filers may report shares 

outstanding for multiple classes of stock 

for XBRL validation. Corresponding 

changes have been made to Chapter 6 

(Interactive Data) of the EDGAR Filer 

Manual, Volume II. 

Along with the adoption of the 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 today’s 

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 

will be available for website viewing 

and printing; the address for the Filer 

Manual is https://www.sec.gov/info/ 

edgar/edmanuals.htm. You may also 

obtain paper copies of the EDGAR Filer 

Manual from the following address: 

Public Reference Room, U.S. Securities 

and Exchange Commission, 100 F Street 

NE, Washington, DC 20549, on official 

business days between the hours of 10 

a.m. and 3 p.m. 

Since the Filer Manual and the 

corresponding rule and form 

amendments relate solely to agency 

procedures or practice, publication for 

notice and comment is not required 

under the Administrative Procedure Act 

(‘‘APA’’).4 It follows that the 

requirements of the Regulatory 

Flexibility Act 5 do not apply. 

The effective date for the updated 

Filer Manual and the related rule and 

form amendments is July 17, 2018. In 

accordance with the APA,6 we find that 

there is good cause to establish an 

effective date less than 30 days after 

publication of these rules. 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 Filer Manual with these system 

upgrades. 

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 1933,7 Sections 3, 12, 

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

Securities Exchange Act of 1934,8

Section 319 of the Trust Indenture Act 

of 1939,9 and Sections 8, 30, 31, and 38 

of the Investment Company Act of 

1940.10

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 authority citation for part 232 

continues to read in part 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–7, 7201 et seq.; and 18 

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

* * * * * 

■ 2. Section 232.301 is revised 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 30 (March 2018). 

The requirements for filing on EDGAR 

are set forth in the updated EDGAR Filer 

Manual, Volume II: ‘‘EDGAR Filing,’’ 

Version 47 (July 2018). 

Additional provisions applicable to 

Form N–SAR filers are set forth in the 

EDGAR Filer Manual, Volume III: ‘‘N– 

SAR Supplement,’’ Version 6 (January 

2017). 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 for website 

viewing and printing; the address for 

the Filer Manual is https://www.sec.gov/ 

info/edgar/edmanuals.htm. You can 

obtain paper copies of the EDGAR Filer 

Manual at the following address: Public 

Reference Room, U.S. Securities and 

Exchange Commission, 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, call 202–741–6030, 

or go to: https://www.archives.gov/ 

federal-register/cfr/ibr-locations.html. 

By the Commission. 


daltland on DSKBBV9HB2PROD with RULES
Federal Register / Vol. 83, No. 137 / Tuesday, July 17, 2018 / Rules and Regulations 33121 

Dated: July 10, 2018. 

Lynn M. Powalski, 

Deputy Secretary. 

[FR Doc. 2018–15247 Filed 7–16–18; 8:45 am] 

BILLING CODE 8011–01–P 

DEPARTMENT OF HOMELAND 

SECURITY 

Coast Guard 

33 CFR Part 100 

[Docket No. USCG–2012–1036] 

Special Local Regulations: Recurring 

Marine Events in Captain of the Port 

Long Island Sound Zone 

AGENCY: Coast Guard, DHS. 

ACTION: Notice of enforcement of 

regulation. 

SUMMARY: The Coast Guard will enforce 

five special local regulations for marine 

events in the Sector Long Island Sound 

area of responsibility on the dates and 

times listed in the table below. This 

action is necessary to provide for the 

safety of life on navigable waterways 

during the events. During the 

enforcement periods, no person or 

vessel may enter the safety zones 

without permission of the Captain of the 

Port (COTP) Sector Long Island Sound 

or designated representative. 

DATES: The regulation in 33 CFR 

100.100, Table to § 100.100 will be 

enforced for the following safety zones 

identified in the SUPPLEMENTARY

INFORMATION section during the dates 

and times specified. 

FOR FURTHER INFORMATION CONTACT: If 

you have questions on this notice of 

enforcement, call or email Chief Petty 

Officer Katherine Linnick, Waterways 

Management Division, U.S. Coast Guard 

Sector Long Island Sound; telephone 

203–468–4565, email 

Katherine.E.Linnick@uscg.mil. 

SUPPLEMENTARY INFORMATION: The Coast 

Guard will enforce the special local 

regulations listed in 33 CFR 100.100 

Table 1 on the specified dates and times 

as indicated below. 

7.6 Aquapalooza, Zach’s Bay ................................................................ • Date: July 22, 2018. 

• Time: 11:30 a.m. to 5:30 p.m. 

• Location: All navigable waters of Zach’s Bay, Wantagh, NY south of 

the line connecting a point near the western entrance to Zach’s Bay 

in approximate position 40°36′29.20′′ N, 073°29′22.88′′ W and a 

point near the eastern entrance of Zach’s Bay in approximate position 40°36′16.53′′ N, 073°28′57.26′′ W. 

• Additional stipulations: During the enforcement period vessel speed 

in the regulated area is restricted to no wake speed or 6 knots, 

whichever is slower. On the day of the event from 3 p.m. to 5:30 

p.m. vessels may only transit the regulated area in the northbound 

direction or outbound direction. 

8.1 Riverfront Dragon Boat and Asian Festival ..................................... • Date: August 18, 2018. 

• Time: 8:00 a.m. to 5:00 p.m. 

• Location: All waters of the Connecticut River in Hartford, CT between the Bulkeley Bridge at 41°46′10.10′′ N, 072°39′56.13′′ W and 

the Wilbur Cross Bridge at 41°45′11.67′′ N, 072°39′13.64′′ W (NAD 

83). All positions are approximate. 

8.2 Swim Across the Sound .................................................................. • Date: August 4, 2018. 

• Time: 7:30 a.m. to 7:30 p.m. 

• Location: Waters of Long Island Sound from Port Jefferson, NY in 

approximate position 40°58′11.71′′ N, 073°05′51.12′′ W; then northwest to Captain’s Cove Seaport, Bridgeport, CT in approximate position 41°09′25.07′′ N, 073°12′47.82′′ W (NAD 83). 

8.4 Island Beach Two Mile Swim .......................................................... • Date: August 4, 2018. 

• Time: 7:30 a.m. to 11:30 a.m. 

• Location: All waters of Captain Harbor between Little Captain’s Island and Bower’s Island that are located within the box formed by 

connecting four points in the following positions. Beginning at 

40°59′23.35′′ N, 073°36′42.05′′ W; then northwest to 40°59′51.04′′ N, 

073°37′57.32′′ W; then southwest to 40°59′45.17′′ N, 073°38′01.18′′ 

W; then southeast to 40°59′17.38′′ N, 073°36′45.9′′ W; then northeast to the point of origin (NAD 83). All positions are approximate. 

8.6 Smith Point Triathlon ....................................................................... • Date: August 5, 2018. 

• Time: 6:15 a.m. to 8:15 a.m. 

• Location: All waters of Narrow Bay near Smith Point Park in Mastic 

Beach, NY within the area bounded by land along its southern edge 

and points in position at 40°44′14.28′′ N, 072°51′40.68′′ W; then 

north to a point at position 40°44′20.83′′ N, 072°51′40.68′′ W; then 

east to a point at position 40°44′20.83′′ N, 072°51′19.73′′ W; then 

south to a point at position 40°44′14.85′′ N, 072°51′19.73′′ W; and 

then southwest along the shoreline back to the point of origin (NAD 

83). All positions are approximate. 

Under the provisions of 33 CFR 

100.100, the events listed above are 

established as special local regulations. 

During the enforcement period, persons 

and vessels are prohibited from entering 

into, transiting through, mooring, or 

anchoring within these regulated areas 

unless they receive permission from the 

COTP or designated representative. 

This notice of enforcement is issued 

under authority of 33 CFR part 100 and 

5 U.S.C. 552(a). In addition to this 

notice of enforcement in the Federal 

Register, the Coast Guard will provide 

the maritime community with advance 

notification of this enforcement period 

via the Local Notice to Mariners or 

marine information broadcasts. If the 


daltland on DSKBBV9HB2PROD with RULES