Federal Register / Vol. 83, No. 11 / Wednesday, January 17, 2018 / Rules and Regulations 2369 

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 September 13, 2017. See Release No. 33– 

10413 (September 13, 2017) [82 FR 45434]. 

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

232.301). 

3See Release No. 33–10385 (July 6, 2017) [82 FR 

35062] (implementing revisions to reflect EDGAR 

Release 17.2. For additional history of EDGAR Filer 

Manual revisions, please see the citations therein). 

4The Commission previously adopted 

amendments requiring registrants to include a 

hyperlink to each exhibit listed in the exhibit index 

of certain filings, including filings on Form 10–D. 

See Release Nos. 33–10322, 34–80132 (March 1, 

2017) [82 FR 14130 (March 17, 2017)]. 

(b) Unsafe Condition 

This AD defines the unsafe condition as a 

crack in a spindle, which, if not detected, 

could result in loss of a main rotor blade and 

subsequent loss of control of the helicopter. 

(c) Affected ADs 

This AD supersedes AD 2015–08–51, 

Amendment 39–18160 (80 FR 28172, May 18, 

2015). 

(d) Effective Date 

This AD becomes effective February 21, 

2018. 

(e) Compliance 

You are responsible for performing each 

action required by this AD within the 

specified compliance time unless it has 

already been accomplished prior to that time. 

(f) Required Actions 

(1) Before further flight, remove from 

service any spindle P/N 28–14282–11 or 28– 

14282–13 that has 1,500 or more hours timein-service (TIS). If the hours TIS of a spindle 

is unknown, use the TIS of the helicopter. 

Thereafter, remove from service any spindle 

P/N 28–14282–11 or 28–14282–13 before 

accumulating 1,500 hours TIS. 

(2) For each spindle with 500 or more 

hours TIS, using the hours TIS of the 

helicopter if the hours TIS of the spindle is 

unknown: 

(i) Before further flight, unless already 

done within the last 500 hours TIS, conduct 

a magnetic particle inspection (MPI) of the 

spindle for a crack, paying particular 

attention to the threaded portion of the 

spindle. The MPI of the spindle must be 

conducted by a Level II or Level III inspector 

qualified in the MPI in the Aeronautics 

Sector according to the EN4179 or NAS410 

standard or equivalent. If there is a crack in 

the spindle, replace it with an airworthy 

spindle before further flight. 

(ii) Thereafter at intervals not to exceed 

500 hours TIS, repeat the MPI specified in 

paragraph (f)(2)(i) of this AD. 

(g) Alternative Methods of Compliance 

(AMOCs) 

(1) The Manager, Chicago ACO Branch, 

FAA, may approve AMOCs for this AD. Send 

your proposal to: Manzoor Javed, Senior 

Aerospace Engineer, Chicago ACO Branch, 

Compliance and Airworthiness Division, 

FAA, 2300 East Devon Ave., Des Plaines, IL 

60018; telephone (847) 294–8112; email 

manzoor.javed@faa.gov. 

(2) For operations conducted under a 14 

CFR part 119 operating certificate or under 

14 CFR part 91, subpart K, we suggest that 

you notify your principal inspector, or 

lacking a principal inspector, the manager of 

the local flight standards district office or 

certificate holding district office, before 

operating any aircraft complying with this 

AD through an AMOC. 

(h) Additional Information 

Enstrom Service Directive Bulletin Nos. 

0119 and T–050, both Revision 3 and both 

dated June 24, 2016, which are not 

incorporated by reference, contain additional 

information about the subject of this AD. For 

service information identified in this AD, 

contact Enstrom Helicopter Corporation, 

2209 22nd Street, Menominee, MI; telephone 

(906) 863–1200; fax (906) 863–6821; or at 

www.enstromhelicopter.com. You may 

review a copy of the service information at 

the FAA, Office of the Regional Counsel, 

Southwest Region, 10101 Hillwood Pkwy., 

Room 6N–321, Fort Worth, TX 76177. 

(i) Subject 

Joint Aircraft Service Component (JASC) 

Code: 6220, Main Rotor Head. 

Issued in Fort Worth, Texas, on January 8, 

2018. 

James A. Grigg, 

Acting Director, Compliance & Airworthiness 

Division, Aircraft Certification Service. 

[FR Doc. 2018–00659 Filed 1–16–18; 8:45 am] 

BILLING CODE 4910–13–P 

SECURITIES AND EXCHANGE 

COMMISSION 

17 CFR Part 232 

[Release Nos. 33–10444; 34–82246; 39– 

2519; IC–32938] 

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 to reflect updates to the 

EDGAR system. The EDGAR system is 

scheduled to be upgraded on December 

11, 2017. 

DATES: Effective January 17, 2018. The 

incorporation by reference of the 

EDGAR Filer Manual is approved by the 

Director of the Federal Register as of 

January 17, 2018. 

FOR FURTHER INFORMATION CONTACT: In 

the Division of Investment Management, 

for questions concerning Form N– 

LIQUID and additional data submission 

protocols for Form N–CEN, contact 

Heather Fernandez at (202) 551–6708; 

and in the Division of Corporation 

Finance, for questions concerning the 

combined Form 10–D/ABS–EE 

submission protocols or the new CERT 

submission form type, contact Heather 

Macintosh at (202) 551–8111. 

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 44 

(December 2017). 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 may consult the Filer 

Manual in conjunction with our rules 

governing mandated electronic filing 

when preparing documents for 

electronic submission.3

The EDGAR system will be upgraded 

to Release 17.4 on December 11, 2017 

and will introduce the changes 

referenced below. 

EDGAR Release 17.4 will update 

EDGAR to allow, but not require, assetbacked securities filers to submit a 

combined Form 10–D and Form ABS– 

EE. The combined submission would 

allow filers to concurrently submit and 

create hyperlinks in Form 10–D to the 

Form ABS–EE exhibits incorporated by 

reference into the Form 10–D.4 The 

combined submission will be subject to 

a size limitation of 800MB, with 600MB 

for the Form ABS–EE submission and 

200MB for the Form 10–D submission. 

Corresponding changes will be made to 

Chapter 5 (Constructing Attached 

Documents and Document Types) and 

Chapter 7 (Preparing and Transmitting 

EDGARLink Online Submissions) of the 

EDGAR Filer Manual, Volume II. 

EDGAR Release 17.4 will update 

EDGAR to allow, but not require, 

national securities exchanges to submit 

a new certification form type on EDGAR 

to evidence the approval of securities 

for listing on an exchange. EDGAR 

Release 17.4 will introduce submission 


ethrower on DSK3G9T082PROD with RULES
2370 Federal Register / Vol. 83, No. 11 / Wednesday, January 17, 2018 / Rules and Regulations 

5See Release No. 33–10413 (adopting updates to 

reflect EDGAR Release 17.3). 

6 5 U.S.C. 553(b)(A). 

7 5 U.S.C. 601–612. 

8 5 U.S.C. 553(d)(3). 

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. 77sss. 

12 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37. 

form type CERT, a new EDGARLink 

Online submission form type. 

Instructions for making submissions of 

form type CERT will be added to 

Chapter 5 (Constructing Attached 

Documents and Document Types) and 

Chapter 7 (Preparing and Transmitting 

EDGARLink Online Submissions) of the 

EDGAR Filer Manual, Volume II. 

In Release No. 33–10233 (October 13, 

2016) [81 FR 82142], the Commission 

adopted changes to the reporting 

requirements for open-end management 

investment companies. Among the 

changes was the adoption of new Form 

N–LIQUID, which requires all registered 

open-end funds (except money market 

funds) to confidentially notify the 

Commission when certain events related 

to their liquidity occur. EDGAR Release 

17.4 will update EDGAR to provide a 

means of submitting information 

regarding liquidity events using the 

following form types: 

• Current Report Open-End 

Management Investment Company 

Liquidity on Form N–LIQUID (N– 

LIQUID); and 

• Amended Current Report Open-End 

Management Investment Company 

Liquidity Form N–LIQUID (N–LIQUID/ 

A). 

Changes will be made to Chapter 3 

(Index to Forms) and Chapter 7 

(Preparing and Transmitting Online 

Submissions) of the EDGAR Filer 

Manual, Volume II. 

In Release No. 33–10231 the 

Commission also adopted Form N–CEN, 

which will require investment 

companies, other than face amount 

certificate companies, to provide an 

annual report of census-type 

information in a structured format. 

EDGAR Release 17.3 added Form N– 

CEN and its related submission form 

types to EDGAR.5 As part of EDGAR 

Release 17.4, Chapter 7 (Preparing and 

Transmitting Online Submissions) of 

the EDGAR Filer Manual, Volume II will 

be revised to provide clarifying 

instructions for filers on how to submit 

an amended Form N–CEN that contains 

data from a previously accepted filing 

on Form N–CEN or N–CEN/A covering 

the same period-end. 

Finally, clarifying changes to the 

instructions for preparing documents 

that contain interactive data will be 

made to Chapter 5 (Constructing 

Attached Documents and Document 

Types) and 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 changes relate solely 

to agency procedures or practice, 

publication for notice and comment is 

not required under the Administrative 

Procedure Act (‘‘APA’’).6 It follows that 

the requirements of the Regulatory 

Flexibility Act 7 do not apply. 

The effective date for the updated 

Filer Manual and the rule amendments 

is January 17, 2018. In accordance with 

the APA,8 we find that there is good 

cause to establish an effective date less 

than 30 days after publication of these 

rules. The EDGAR system upgrade to 

Release 17.4 is scheduled to become 

available on December 11, 2017. 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 Sections 6, 7, 8, 

10, and 19(a) of the Securities Act of 

1933,9 Sections 3, 12, 13, 14, 15, 23, and 

35A of the Securities Exchange Act of 

1934,10 Section 319 of the Trust 

Indenture Act of 1939,11 and Sections 8, 

30, 31, and 38 of the Investment 

Company Act of 1940.12

List of Subjects in 17 CFR Part 232 

Incorporation by reference, 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 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–37, and 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 29 (September 

2017). The requirements for filing on 

EDGAR are set forth in the updated 

EDGAR Filer Manual, Volume II: 

‘‘EDGAR Filing,’’ Version 44 (December 

2017). 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 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 

10:00 a.m. and 3:00 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. 


ethrower on DSK3G9T082PROD with RULES
Federal Register / Vol. 83, No. 11 / Wednesday, January 17, 2018 / Rules and Regulations 2371 

1 82 FR 38859 (Aug. 16, 2017). 

Dated: December 8, 2017. 

Brent J. Fields, 

Secretary. 

[FR Doc. 2018–00625 Filed 1–16–18; 8:45 am] 

BILLING CODE 8011–01–P 

LIBRARY OF CONGRESS 

Copyright Office 

37 CFR Part 202 

[Docket No. 2017–9] 

Simplifying Deposit Requirements for 

Certain Literary Works and Musical 

Compositions 

AGENCY: U.S. Copyright Office, Library 

of Congress. 

ACTION: Final rule. 

SUMMARY: The United States Copyright 

Office is issuing a final rule, amending 

regulations that govern the deposit 

requirements for certain types of literary 

works and musical compositions. The 

final rule is adopted as proposed in the 

notice of proposed rulemaking, though 

the Office provides some clarification 

regarding the rule’s application. 

DATES: Effective February 16, 2018. 

FOR FURTHER INFORMATION CONTACT: 

Sarang V. Damle, General Counsel and 

Associate Register of Copyrights, by 

email at sdam@loc.gov; Robert J. 

Kasunic, Associate Register of 

Copyrights and Director of Registration 

Policy and Practice, by email at rkas@

loc.gov; Erik Bertin, Deputy Director of 

Registration Policy and Practice, by 

email at ebertin@loc.gov; or Cindy 

Abramson, Assistant General Counsel, 

by email at ciab@loc.gov. All can be 

reached by telephone by calling 202– 

707–8040. 

SUPPLEMENTARY INFORMATION: On August 

16, 2017, the Copyright Office published 

a notice of proposed rulemaking 

(‘‘NPRM’’) to amend the regulations 

governing the deposit requirements for 

certain types of literary works 

(specifically, literary monographs) and 

musical compositions that are published 

in print formats. 

Under the previous regulations, two 

copies of the best edition were generally 

needed to register these types of works 

and to comply with the mandatory 

deposit requirement. Under the new 

rule, copyright owners will be able to 

satisfy both registration deposit and 

mandatory deposit requirements by 

submitting one copy of the best edition 

of the work. In the case of literary 

monographs, the Office will retain the 

right to demand a second copy under 

the mandatory deposit provision should 

the Library need it. 

As part of these changes, the rule also 

clarifies the deposit requirements for 

musical compositions published both in 

print and phonorecord formats, 

requiring the submission of the print 

version for purposes of copyright 

registration. If, however, the musical 

composition is published only as a 

phonorecord, the applicant should 

submit a copy of the phonorecord. 

All of these changes will improve the 

efficiency of registration and mandatory 

deposit for both the Office and 

copyright owners alike, ensuring that 

the Office has an adequate registration 

record and continuing to make these 

works available to the Library of 

Congress when needed for use in its 

collections or other disposition. 

The NPRM explained in detail the 

rationale for the rule changes.1 The 

Office solicited and received five 

comments, only two of which were 

substantive. Having reviewed and 

carefully considered the comments, the 

Copyright Office now issues a final rule 

identical to the proposed rule. While the 

Office does not believe the comments 

require any alteration to the rule itself, 

it does believe that some clarification 

would be helpful to both the 

commenters and copyright owners, and 

is provided here. 

The Association of American 

Publishers (‘‘AAP’’) filed a comment 

regarding the proposed rule as it relates 

to the deposit of literary monographs. 

While the comment appreciates that the 

rule ‘‘could reduce the financial 

burdens of publishers with respect to 

deposit regulations,’’ it nevertheless 

does not support the rule because it 

takes issue with the Library’s 

disposition of surplus works. AAP 

Comments at 2. 

AAP appears to believe that there is 

no authority in the Copyright Act for the 

Library’s disposition of surplus works 

and that the only authority comes from 

the Library’s own regulations. AAP 

Comments at 6–7. But as discussed in 

the NPRM, section 704 of the Copyright 

Act explicitly states that ‘‘[i]n the case 

of published works, all copies, 

phonorecords, and identifying material 

deposited are available to the Library of 

Congress for its collections, or for 

exchange or transfer to any other 

library.’’ 17 U.S.C. 704(b) (emphasis 

added). Furthermore, AAP’s concern 

about the Library’s disposition of 

surplus books would be diminished by 

adoption of the rule, which limits the 

volume of works (and thereby any 

surplus) coming in to the Library in the 

first place. AAP concedes that the rule 

should have that result. AAP Comments 

at 2. In part, a primary goal of the rule 

is to lessen the burden for publishers. 

Accordingly, the Office chooses to move 

forward with the rule as is and 

anticipates that AAP’s members will 

benefit significantly from the rule. 

The National Music Publishers’ 

Association (‘‘NMPA’’) filed a comment 

in support of the rule, subject to certain 

clarifications pertaining to the deposit 

of musical compositions. Specifically, 

NMPA wanted to clarify that ‘‘where 

musical works are originally published 

solely as phonorecords, and such 

musical works are properly deposited 

and registered in accordance with the 

statutory and regulatory directives . . . 

that the later publication of the same 

musical work in the form of a ‘copy’ 

does not create an additional burden to 

subsequently deposit and register the 

work in ‘copy’ form.’’ NMPA Comments 

at 2. The Office confirms that a later 

publication in the form of a ‘‘copy’’ does 

not create an additional deposit 

requirement. 

As NMPA correctly points out, the 

Copyright Act defines ‘‘best edition’’ as 

‘‘the edition, published in the United 

States at any time before the date of 

deposit, that the Library of Congress 

determines to be most suitable for its 

purposes.’’ 17 U.S.C. 101 (emphasis 

added); NMPA Comments at 4. NMPA 

believes, and the Office agrees, that this 

definition limits a ‘‘best edition’’ to 

published works at the time of deposit— 

that is, at the time the deposit for 

copyright registration or mandatory 

deposit is made. NMPA Comments at 4– 

5. Therefore, if only a phonorecord is 

published at the time of deposit, a 

subsequently published ‘‘copy’’ would 

not be a ‘‘best edition’’ and not be 

required for deposit. 

NMPA proposes language to the rule 

to clarify any confusion regarding 

subsequent publication of ‘‘copies.’’ The 

Office believes that the rule in its 

current form along with the current 

definition of ‘‘best edition’’ is sufficient 

and no changes need to be made to the 

rule. 

List of Subjects in 37 CFR Part 202 

Copyright, Preregistration and 

registration of claims to copyright. 

Final Regulations 

For the reasons set forth in the 

preamble, the Copyright Office amends 

37 CFR part 202 as follows: 

PART 202—GENERAL PROVISIONS 

■ 1. The authority citation for part 202 

continues to read as follows: 


ethrower on DSK3G9T082PROD with RULES