Federal Register / Vol. 74, No. 77 / Thursday, April 23, 2009 / Rules and Regulations 18465 

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 16, 2009. See Release No. 33–9022 

(April 8, 2009). 

2This is the filer assistance software we provide 

filers filing on the EDGAR system. 

3See Rule 301 of Regulation S–T (17 CFR 

232.301). 

4See Release No. 33–9022 (April 8, 2009) in 

which we implemented EDGAR Release 9.14. For 

a complete history of Filer Manual rules, please see 

the cites therein. 

SECURITIES AND EXCHANGE 

COMMISSION 

17 CFR Part 232 

[Release Nos. 33–9027; 34–59776; 39–2465; 

IC–28698] 

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 to reflect 

updates to the EDGAR system. The 

revisions were made primarily to 

improve the Form D filing process. The 

revisions to the Filer Manual reflect 

changes within Volume I entitled 

EDGAR Filer Manual, Volume I: 

‘‘General Information,’’ Version 6 

(March 2009) and Volume II entitled 

EDGAR Filer Manual, Volume II: 

‘‘EDGAR Filing,’’ Version 11 (March 

2009). The updated manual will be 

incorporated by reference into the Code 

of Federal Regulations. 

DATES: Effective Date: April 23, 2009. 

The incorporation by reference of the 

EDGAR Filer Manual is approved by the 

Director of the Federal Register as of 

April 23, 2009. 

FOR FURTHER INFORMATION CONTACT: In 

the Office of Information Technology, 

contact Rick Heroux, at (202) 551–8800; 

in the Office of Interactive Disclosure 

for questions concerning the XBRL/ 

Interactive Data and the 2008 Mutual 

Fund Risk/Return Summary Taxonomy 

contact Jeffrey Naumann, Assistant 

Director of the Office of Interactive 

Disclosure, at (202) 551–5352; in the 

Division of Corporation Finance, for 

questions on saving a partially 

completed Form D filing, minor Form D 

screen changes, and the ability to attach 

a PDF document to a Form ID 

submission contact Cecile Peters, Chief, 

Office of Information Technology, at 

(202) 551–3600; Office of Disclosure 

Regulation, at (202) 551–6784; and for 

the removal of submission form types 

497K1, 497K2, 497K3A and 497K3B, the 

new submission form type 497K or 

N–4 filings, contact Ruth Armfield 

Sanders, Senior Special Counsel, Office 

of Legal and Disclosure, at (202) 551– 

6989; and in the Division of Trading and 

Markets for the addition of the Office of 

Thrift Supervision (OTS) as a new 

Appropriate Regulatory Agency (ARA) 

on InfoPath Forms TA–1 and 

TA–1/A and the ability to use an older 

version of the InfoPath Forms TA–1 and 

TA–1/A after they have been updated 

contact Catherine Moore, Special 

Counsel, Office of Clearance and 

Settlement, at (202) 551–5710. 

SUPPLEMENTARY INFORMATION: We are 

adopting an updated EDGAR Filer 

Manual, Volume I and 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 2 and the Online Forms/ 

XML Web site. 

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.3 Filers may consult the Filer 

Manual in conjunction with our rules 

governing mandated electronic filing 

when preparing documents for 

electronic submission.4

The EDGAR system was upgraded to 

Release 9.15.1 on March 16, 2009 to 

improve the Form D filing process by 

allowing filers to save a partially 

completed Form D filing offline to a 

designated location on their computer. 

The file generated can be used at a later 

date to complete the Form D 

submission. The Form D online 

application can be accessed from the 

EDGAR OnlineForms/XML Web site 

(https:// 

www.onlineforms.edgarfiling.sec.gov) by 

logging in and selecting the ‘‘File Form 

D’’ link. Filers can also log in by 

clicking the ‘‘Would you like to File a 

Form D?’’ link from the EDGAR Portal 

Web site (http:// 

www.portal.edgarfiling.sec.gov). Minor 

Form D screen elements and 

functionality will be updated. The 

changes will be as follows: 

• Issuer(s) Information screen: 

Wording will be changed from ‘‘Primary 

Filing Issuer’s Information:’’ to 

‘‘Issuer(s) Identified in the Filing’’ 

• Item 1—Issuer’s Identity: The order 

of the choices for ‘‘Year of 

Incorporation/Organization’’ will be 

changed so that ‘‘Over Five Years Ago’’ 

appears first and ‘‘Yet to be Formed’’ is 

last 

• Item 1—Issuer’s Identity: The 

‘‘Previous Name’’ field will default to 

None 

• Item 6—Federal Exemption(s) and 

Exclusion(s) Claimed: Help text will be 

displayed when the filer hovers over the 

‘‘Securities Act Section 4 (6)’’ label with 

their mouse 

• Item 6—Federal Exemption(s) and 

Exclusion(s) Claimed:—If the filer has 

chosen ‘‘Investment Company Act 

Section 3(c)’’ under Item 6, the system 

shall pre-populate the ‘‘Pooled 

Investment Fund Interests’’ option 

under Item 9. The filer will have the 

option of retaining the ‘‘Investment 

Company Act Section 3(C)’’ option if the 

‘‘Pooled Investment Fund Interests’’ 

option is deselected. 

• Item 12—Sales Compensation: The 

State(s) of Solicitation list will be 

limited to U.S. States and U.S. 

Territories 

• Item 13—Offering and Sales 

Amounts: The ‘‘Total Remaining to be 

Sold’’ calculation will be performed 

before the filer leaves the screen 

• Signature and Submission Screen: 

The ‘‘I also am a duly authorized 

representative of the other identified 

issuer(s) in Item 1 above and authorized 

to sign on their behalf’’ checkbox will 

only be visible when there is more that 

one issuer 

• Signature and Submission Screen: 

The following language will be inserted 

directly above the signature block; ‘‘For 

signature, type in the signer’s name or 

other letters or characters adopted or 

authorized as the signer’s signature.’’ 

The online Form ID application 

process was updated to allow filers to 

attach a scanned notarized 

authentication PDF document to the 

Form ID submission as an alternative to 

faxing the document (does not apply to 

updating passcodes or converting to an 

electronic filer). Filers can complete a 

fillable PDF version of the Form ID 

document that can be found on the 

SEC’s public Web site. Once completed, 

the fillable PDF can be printed, signed, 

notarized, scanned and attached to your 

electronic Form ID application. Filers 

can continue to fax their authentication 

document if desired. 

A new EDGAR submission form type 

497K was added for the Summary 

Prospectus effective March 31, 2009. It 

cannot be filed before that date. Also, 

effective March 31, 2009, EDGAR 

submission form types 497K1, 497K2, 

497K3A and 497K3B will be removed as 

of close of business (5:30 PM EST) 

March 30, 2009. 


rwilkins on PROD1PC63 with RULES
18466 Federal Register / Vol. 74, No. 77 / Thursday, April 23, 2009 / Rules and Regulations 

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

6 5 U.S.C. 601–612. 

7 5 U.S.C. 553(d)(3). 

8 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a). 

9 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll. 

10 15 U.S.C. 77sss. 

11 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37. 

EDGAR will not accept XBRL 

submissions that include both EX–100 

and EX–101 exhibit types within the 

same submission. XBRL submissions 

must use either EX–100 or EX–101. For 

investment companies submitting under 

the voluntary program, only document 

type EX–100 may be used. 

N–4 filings will no longer be 

suspended if the company does not 

have an 811 file number and is adding 

series and classes in their N–4 filing. 

Notices and orders related to form 

type 40–8F–2 will be added to EDGAR. 

The Office of Thrift Supervision 

(OTS) was added as an Appropriate 

Regulatory Agency (ARA) on 

EDGARLite Forms TA–1 and TA–1/A. 

In addition TA–1 filers can use older 

versions of the EDGARLite Forms TA– 

1 and TA–1/A after they’ve been 

updated to a new version as long as the 

older form version contains all required 

fields. If the older form version does not 

include all of the required fields, the 

submission will be suspended and a 

version that contains all required fields 

must be used. 

Revisions were also made to support 

the 2008 Mutual Fund Risk/Return 

Summary Taxonomy. 

Chapter 6 (Interactive Data) of the 

EDGAR Filer Manual, Volume II— 

EDGAR Filing, has been updated to 

make clarifications to the instructions 

on XBRL/Interactive Data tagging. 

EDGARLink submission template 3 

was updated to add submission form 

type 497K. It is highly recommended 

that filers download, install, and use the 

new EDGARLink software and 

submission template to ensure that 

submissions will be processed 

successfully. Previous versions of the 

templates may not work properly. 

Notice of the update has previously 

been provided on the EDGAR Filing 

Web site and on the Commission’s 

public Web site. The discrete updates 

are reflected on the EDGAR Filing Web 

site and in the updated Filer Manual, 

Volume II. 

It is anticipated that the EDGAR 

system will be upgraded to Release 

9.15.2 in the third quarter of fiscal year 

2009. Within this minor release, EDGAR 

will be modified to support the 

validation of submission type SH–ER 

information table XML documents 

against the schema documents provided 

in the EDGAR Submission Type SH–ER 

Information Table XML Technical 

Specification posted on http:// 

www.sec.gov.info/edgar.shtml. 

Along with 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. 

You may obtain paper copies of the 

updated Filer Manual at the following 

address: Public Reference Room, U.S. 

Securities and Exchange Commission, 

100 F Street, NE., Room 1520, 

Washington, DC 20549, on official 

business days between the hours of 10 

a.m. and 3 p.m. We will post electronic 

format copies on the Commission’s Web 

site; the address for the Filer Manual is 

http://www.sec.gov/info/edgar.shtml. 

Since the Filer Manual relates solely 

to agency procedures or practice, 

publication for notice and comment is 

not required under the Administrative 

Procedure Act (APA).5 It follows that 

the requirements of the Regulatory 

Flexibility Act 6 do not apply. 

The effective date for the updated 

Filer Manual and the rule amendments 

is April 23, 2009. In accordance with 

the APA,7 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 9.15.1 became available on 

March 16, 2009. 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 the system upgrade. 

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 

1933,8 Sections 3, 12, 13, 14, 15, 23, and 

35A of the Securities Exchange Act of 

1934,9 Section 319 of the Trust 

Indenture Act of 1939,10 and Sections 8, 

30, 31, and 38 of the Investment 

Company Act of 1940.11

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. 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 

* * * * * 

■ 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 out 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 6 (March 2009). 

The requirements for filing on EDGAR 

are set forth in the updated EDGAR Filer 

Manual, Volume II: ‘‘EDGAR Filing,’’ 

Version 11 (March 2009). Additional 

provisions applicable to Form N–SAR 

filers are set forth in the EDGAR Filer 

Manual, Volume III: ‘‘N–SAR 

Supplement,’’ Version 1 (September 

2005). 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. 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., Room 1520, Washington, DC 

20549, on official business days 

between the hours of 10 a.m. and 3 p.m. 

Electronic copies are available on the 

Commission’s Web site. The address for 

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

info/edgar.shtml. 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: http://www.archives.gov/ 

federal_register/ 

code_of_federal_regulations/ 

ibr_locations.html. 

By the Commission. 


rwilkins on PROD1PC63 with RULES
Federal Register / Vol. 74, No. 77 / Thursday, April 23, 2009 / Rules and Regulations 18467 

Dated: April 16, 2009. 

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. E9–9314 Filed 4–22–09; 8:45 am] 

BILLING CODE P 

DEPARTMENT OF VETERANS 

AFFAIRS 

38 CFR Parts 4 and 61 

RIN 2900–AN35 

Posttraumatic Stress Disorder 

Nomenclature Changes 

AGENCY: Department of Veterans Affairs. 

ACTION: Final rule. 

SUMMARY: This document amends the 

Department of Veterans Affairs (VA) 

regulations by making nonsubstantive 

changes. These changes are made for 

clarity and accuracy. 

DATES: Effective Date: These 

amendments are effective April 23, 

2009. 

FOR FURTHER INFORMATION CONTACT: 

William F. Russo, Director, Regulations 

Management (02REG), Department of 

Veterans Affairs, 810 Vermont Avenue, 

NW., Washington, DC 20420, (202) 461– 

7566. (This is not a toll-free number). 

SUPPLEMENTARY INFORMATION: VA is 

amending its regulations which contain 

the term ‘‘post-traumatic stress 

disorder’’ by changing that term to 

‘‘posttraumatic stress disorder’’. We 

have chosen to use the term 

‘‘posttraumatic stress disorder’’ because 

it has become the standard term used by 

psychiatric professionals. See 

Diagnostic and Statistical Manual of 

Mental Disorders (4th ed.1994) 

(published by the American Psychiatric 

Association); see also Merck Manual of 

Medical Information (2nd edition 2003); 

and Dorland’s Illustrated Medical 

Dictionary (31st edition 2007). No 

substantive changes are intended by 

these amendments. 

Administrative Procedure Act 

This final rule consists of 

nonsubstantive changes and, therefore, 

is not subject to the notice and comment 

and effective date provisions of 5 U.S.C. 

553. 

Unfunded Mandates 

The Unfunded Mandates Reform Act 

requires, at 2 U.S.C. 1532, that agencies 

prepare an assessment of anticipated 

costs and benefits before issuing any 

rule that may result in an expenditure 

by State, local, or tribal governments, in 

the aggregate, or by the private sector of 

$100 million or more in any given year. 

This final rule would have no such 

effect on State, local, or tribal 

governments, or on the private sector. 

Paperwork Reduction Act 

This document contains no provisions 

constituting a collection of information 

under the Paperwork Reduction Act (44 

U.S.C. 3501–3521). 

Regulatory Flexibility Act 

The Secretary hereby certifies that 

this regulatory amendment will not 

have a significant economic impact on 

a substantial number of small entities as 

they are defined in the Regulatory 

Flexibility Act, 5 U.S.C. 601–612. This 

amendment merely consists of 

nonsubstantive changes. Therefore, 

pursuant to 5 U.S.C. 605(b), this 

amendment is exempt from the initial 

and final regulatory flexibility analysis 

requirements of sections 603 and 604. 

Catalog of Federal Domestic Assistance 

The Catalog of Federal Domestic 

Assistance program numbers and titles 

are 64.100, Automobiles and Adaptive 

Equipment for Certain Disabled 

Veterans and Members of the Armed 

Forces; 64.101, Burial Expenses 

Allowance for Veterans; 64.104, Pension 

for Non-Service-Connected Disability 

for Veterans; 64.105, Pension to 

Veterans Surviving Spouses, and 

Children; 64.106, Specially Adapted 

Housing for Disabled Veterans; 64.109, 

Veterans Compensation for ServiceConnected Disability; and 64.110, 

Veterans Dependency and Indemnity 

Compensation for Service-Connected 

Death. 

List of Subjects 

38 CFR Part 4 

Disability benefits, Pensions, 

Veterans. 

38 CFR Part 61 

Administrative practice and 

procedure, Alcohol abuse, Alcoholism, 

Day care, Dental health, Drug abuse, 

Government contracts, Grant 

programs—health, Grant programs— 

veterans, Health care, Health facilities, 

Health professions, Health records, 

Homeless, Mental health programs, 

Reporting and recordkeeping 

requirements, Travel and transportation 

expenses, Veterans. 

Approved: April 15, 2009. 

William F. Russo, 

Director of Regulations Management. 

■ For the reasons set forth in the 

preamble, 38 CFR parts 4 and 61 are 

amended as follows: 

PART 4—SCHEDULE FOR RATING 

DISABILITIES 

■ 1. The authority citation for part 4 

continues to read as follows: 

Authority: 38 U.S.C. 1155, unless 

otherwise noted. 

Subpart B—Disability Ratings 

§ 4.130 [Amended] 

■ 2. Section 4.130 is amended by 

revising ‘‘Post-traumatic’’ to read 

‘‘Posttraumatic’’. 

Appendix B to Part 4—[Amended] 

■ 3. Appendix B to Part 4 is amended 

by revising ‘‘Post-traumatic’’ to read 

‘‘Posttraumatic’’. 

Appendix C to Part 4—[Amended] 

■ 4. Appendix C to Part 4 is amended 

by revising ‘‘Post-traumatic’’ to read 

‘‘Posttraumatic’’. 

PART 61—VA HOMELESS PROVIDERS 

GRANT AND PER DIEM PROGRAM 

■ 5. The authority citation for part 61 

continues to read as follows: 

Authority: 38 U.S.C. 501, 2002, 2011, 2012, 

2061, 2064, 7721 note. 

§ 61.1 [Amended] 

■ 6. In § 61.1, the definition of 

‘‘Chronically mentally ill’’ is amended 

by revising ‘‘post-traumatic’’ to read 

‘‘posttraumatic’’. 

[FR Doc. E9–8988 Filed 4–22–09; 8:45 am] 

BILLING CODE P 

POSTAL SERVICE 

39 CFR Part 20 

International Product and Price 

Changes; Correction 

AGENCY: Postal Service TM

ACTION: Final rule; correction. 

SUMMARY: The Postal Service published 

in the Federal Register of February 25, 

2009, a document concerning 

international product and price changes 

for implementation in May 2009. 

Inadvertently, Exhibit 292.452 included 

in that document, did not include all 

destination countries and price groups. 

This document corrects the table. 

DATES: This correction is effective and is 

applicable on May 11, 2009. We will 

implement this international price 

change concurrent with our domestic 

Mailing Services price change on May 

11, 2009. 

FOR FURTHER INFORMATION CONTACT: Rick 

Klutts at 813–877–0372. 


rwilkins on PROD1PC63 with RULES