40308 Federal Register / Vol. 86, No. 142 / Wednesday, July 28, 2021 / Rules and Regulations 

surface and IFR arrivals descending 

below 1,500 feet above the surface. To 

properly contain arriving and departing 

IFR aircraft, the radius south of the 

airport is reduced from 6.9 miles to 5 

miles. The radius north of the airport is 

increased from 6.9 miles to 7.3 miles. 

Also, the area extending north of the 

airport is increased to properly contain 

IFR aircraft performing a procedure turn 

maneuver for the NDB–A Approach. 

This action also removes the Class E 

airspace extending upward from 1,200 

feet above the surface. This airspace 

area is wholly contained within the 

Denver en route airspace and 

duplication is not necessary. 

Further, this action removes the 

Saratoga NDB and the Cherokee VOR/ 

DME from the Class E5’s text header and 

airspace description. The navigational 

aids (NAVAIDs) are not needed to 

define the airspace and removal of the 

NAVAIDs simplifies the airspace 

description. 

Lastly, the action implements several 

administrative updates to the airspace 

text header. The city name is removed 

from the second line of the text header, 

and the airport’s geographic coordinates 

on the third line of the text header are 

updated to ‘‘lat. 41°26′37′′ N, long. 

106°49′39′′ W,’’ to match the FAA 

database. 

FAA Order 7400.11, Airspace 

Designations and Reporting Points, is 

published yearly and effective on 

September 15. 

Regulatory Notices and Analyses 

The FAA has determined that this 

regulation only involves an established 

body of technical regulations for which 

frequent and routine amendments are 

necessary to keep them operationally 

current, is non-controversial, and 

unlikely to result in adverse or negative 

comments. It, therefore: (1) Is not a 

‘‘significant regulatory action’’ under 

Executive Order 12866; (2) is not a 

‘‘significant rule’’ under DOT 

Regulatory Policies and Procedures (44 

FR 11034; February 26, 1979); and (3) 

does not warrant preparation of a 

regulatory evaluation as the anticipated 

impact is so minimal. Since this is a 

routine matter that will only affect air 

traffic procedures and air navigation, it 

is certified that this rule, when 

promulgated, would not have a 

significant economic impact on a 

substantial number of small entities 

under the criteria of the Regulatory 

Flexibility Act. 

Environmental Review 

The FAA has determined that this 

action qualifies for categorical exclusion 

under the National Environmental 

Policy Act in accordance with FAA 

Order 1050.1F, ‘‘Environmental 

Impacts: Policies and Procedures,’’ 

paragraph 5–6.5a. This airspace action 

is not expected to cause any potentially 

significant environmental impacts, and 

no extraordinary circumstances exist 

that warrant the preparation of an 

environmental assessment. 

List of Subjects in 14 CFR Part 71 

Airspace, Incorporation by reference, 

Navigation (air). 

Adoption of the Amendment 

In consideration of the foregoing, the 

Federal Aviation Administration 

amends 14 CFR part 71 as follows: 

PART 71—DESIGNATION OF CLASS A, 

B, C, D, AND E AIRSPACE AREAS; AIR 

TRAFFIC SERVICE ROUTES; AND 

REPORTING POINTS 

■ 1. The authority citation for 14 CFR 

part 71 continues to read as follows: 

Authority: 49 U.S.C. 106(f), 106(g), 40103, 

40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 

1959–1963 Comp., p. 389. 

§ 71.1 [Amended] 

■ 2. The incorporation by reference in 

14 CFR 71.1 of FAA Order 7400.11E, 

Airspace Designations and Reporting 

Points, dated July 21, 2020, and 

effective September 15, 2020, is 

amended as follows: 

Paragraph 6005 Class E Airspace Areas 

Extending Upward from 700 feet or more 

above the Surface of the Earth. 

* * * * * 

ANM WY E5 Saratoga, WY [Amended] 

Shively Field Airport, WY 

(Lat. 41°26′37′′ N, long. 106°49′39′′ W) 

That airspace extending upward from 700 

feet above the surface within a 5-mile radius 

of the airport beginning at the 075° bearing 

from the airport clockwise to the 234° bearing 

from the airport, and within a 7.3-mile radius 

of the airport beginning at the 234° bearing 

from the airport clockwise to the 075° bearing 

from the airport, and within 4 miles east and 

8 miles west of the 341° bearing from the 

airport, extending from the 7.3-miles radius 

to 16.1 miles north of the airport. 

Issued in Des Moines, Washington, on July 

22, 2021. 

Maria A. Aviles, 

Acting Group Manager, Operations Support 

Group, Western Service Center. 

[FR Doc. 2021–15988 Filed 7–27–21; 8:45 am] 

BILLING CODE 4910–13–P 

SECURITIES AND EXCHANGE 

COMMISSION 

17 CFR Parts 232 

[Release Nos. 33–10948; 34–92216; 39– 

2539; IC–34304] 

Adoption of Updated EDGAR Filer 

Manual 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Final rule. 

SUMMARY: The Securities and Exchange 

Commission (the ‘‘Commission’’) is 

adopting amendments 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 EDGAR system was upgraded 

on June 18, 2021. 

DATES: 

Effective date: July 28, 2021. 

Incorporation by reference: The 

incorporation by reference of the 

EDGAR Filer Manual is approved by the 

Director as of July 28, 2021. 

FOR FURTHER INFORMATION CONTACT: For 

questions regarding the amendments to 

Volumes I and II of the Filer Manual 

and related rules, please contact 

Rosemary Filou, Chief Counsel, or Jane 

Patterson, Senior Counsel, in the 

EDGAR Business Office at (202) 551– 

3900. For questions concerning Form 

N–CEN updates, please contact Heather 

Fernandez in the Division of Investment 

Management at (202) 551–6708. For 

questions concerning the changes to 

Forms S–1, S–3, F–1 and F–3, please 

contact Chris Windsor, Senior Special 

Counsel in the Division of Corporation 

Finance at (202) 551–3419. For 

questions concerning the XBRL 

submissions, 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 38 (June 2021) 

and Volume II: ‘‘EDGAR Filing,’’ 

Version 58 (June 2021). The updated 

Filer Manual volumes are incorporated 

by reference into the Code of Federal 

Regulations. 

I. Background 

The Filer Manual contains technical 

specifications needed for filers to make 

submissions on EDGAR. Filers must 

comply with the applicable provisions 

of the Filer Manual in order to assure 

the timely acceptance and processing of 


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Federal Register / Vol. 86, No. 142 / Wednesday, July 28, 2021 / Rules and Regulations 40309 

1See Rule 301. 

2EDGAR Release 21.2 will be deployed on or 

about June 21, 2021. EDGAR Release 21.1.3 was 

deployed on May 7, 2021. 

3See Securities Offering Reform for Closed End 

Investment Companies, Release 33–10771 (Apr. 8, 

2020) [85 FR 33290 (June 1, 2020)]. 

4See Fund of Fund Arrangements, Release No. 

33–10871 (Oct. 7, 2020) [85 FR 73924 (Nov. 19, 

2020)]. 

5The ‘‘EDGAR Quick Reference Guide’’ was 

removed from Volume I of the EDGAR Filer Manual 

in Release 20.4. 

6See Facilitating Capital Formation and 

Expanding Investment Opportunities by Improving 

Access to Capital in Private Markets, Release 33– 

10884 (Nov. 2, 2020) [86 FR 3496 (Jan. 14, 2021)]. 

7See Investment Company Reporting 

Modernization, Release 33–10231 (Oct. 13, 2016) 

[81 FR 81870 (Nov. 18, 2016)]. 

8Starting June 25, 2021, applicants for EDGAR 

access who previously used the ‘‘Convert Paper 

Only Filer to Electronic Filer’’ process would now 

be required to submit the Form ID and an 

authenticating document to apply for access to file 

on EDGAR. See Adoption of Updated EDGAR Filer 

Manual, Form ID Amendments, Release No. 33– 

10935 [86 FR 25803]. 

filings made in electronic format.1 Filers 

should consult the Filer Manual in 

conjunction with our rules governing 

mandated electronic filings when 

preparing documents for electronic 

submission. 

II. Amendments to Volumes I of the 

Filer Manual 

The EDGAR System was updated in 

Release 21.2 and the following update is 

being made to Volume I of the EDGAR 

Filer Manual. 

Volume I of the EDGAR Filer Manual 

sets forth the requirements, among other 

things, for securely maintaining EDGAR 

access codes, maintaining current 

company information in EDGAR, and 

obtaining a new passphrase—the access 

code that allows a filer to reset other 

codes—when the passphrase is lost or 

compromised. A filer who has lost their 

passphrase may reset it by requesting a 

security token be sent to the contact 

email address on record for the account. 

Individuals frequently contact the 

Commission, however, indicating they 

represent the filer but do not have 

EDGAR access codes, and the contact 

email on file is not current. Volume I 

allows these filers to regain access to 

their EDGAR account through a 

‘‘manual passphrase’’ request. The 

Commission staff attempts to carefully 

screen these requests, and Volume I is 

being amended to add requirements to 

enable Commission staff to more 

effectively assess manual passphrase 

requests. 

The amendments will require filers to 

upload specified supporting 

documentation to demonstrate the 

relationships between the entity 

requesting access and the existing 

EDGAR account, and the entity 

requesting access and the individual 

acting for that entity. Filers seeking 

access to an existing EDGAR account for 

which they have neither the access 

codes nor the current contact email 

address would be required to submit 

documents with the request for access, 

and additional documents as requested 

by SEC staff. The amendments will also 

provide that filers seeking access under 

this process must allow at least five (5) 

business days for processing of the 

request, and must respond to requests 

from SEC staff for additional 

information and documents. 

III. Edgar System Changes and 

Associated Modifications to Volume II 

of the Edgar Filer Manual 

EDGAR is being updated in Release 

21.2, and was previously updated in 

21.1.3, and corresponding amendments 

to Volume II of the Filer Manual are 

being made to reflect these changes, as 

described below.2

On April 8, 2020, the Commission 

amended Forms S–1, S–3, F–1 and F– 

3 to enable issuers of Exchange Traded 

Vehicle Securities to register an 

indeterminate number of shares and to 

pay fees annually based on net 

issuances, or to register a fixed amount 

of the securities and pay the associated 

fees.3 EDGAR Release 21.2 updates 

submission form types S–1, S1/A, S–3, 

S–3/A, F–1, F–1/A, F–3 and F–3/A to 

include ‘‘Exchange Traded Vehicle 

Securities’’ as a new security type. See 

Chapter 7 (Preparing and Transmitting 

EDGARLink Online Submissions) of the 

EDGAR Filer Manual, Volume II: 

‘‘EDGAR Filing.’’ 

On October 7, 2020, the Commission 

adopted new rules and amended 

existing rules and forms to create a 

comprehensive regulatory framework 

for fund of funds arrangements.4 As part 

of the new rule, Release 21.2 updates 

submission form types N–CEN and N– 

CENA to include updated form content 

and adds two new questions on the form 

types related to unit investment trusts in 

Part F., and to management companies 

in Part C. See Chapter 8 (Preparing and 

Transmitting Online Submissions) of 

the EDGAR Filer Manual, Volume II: 

‘‘EDGAR Filing.’’ 

Also, the following updates will be 

made to Volume II of EDGAR Filer 

Manual: 

Updates to technical instructions will 

be added to support filers with 

constructing attached documents and 

document types and interactive data. 

See Chapter 5 (Constructing Attached 

Documents and Document Types) and 

Chapter 6 (Interactive Data) of the 

EDGAR Filer Manual, Volume II: 

‘‘EDGAR Filing.’’ 

The EDGAR Frequently Asked 

Questions (FAQ) screens of the EDGAR 

Filing website and the EDGAR Filer 

Management website will be updated to 

remove the ‘‘EDGAR Quick Reference 

Guides’’ hyperlink.5 See Appendix B 

(Frequently Asked Questions) of the 

EDGAR Filer Manual, Volume II: 

‘‘EDGAR Filing.’’ 

EDGAR Release 21.1.3 also 

introduced the following software 

changes and the Filer Manual is being 

revised accordingly: 

• In accordance with Release 33– 

10884,6 submission form types C, C/A, 

and C–U were updated to increase the 

offering limit from $1,070,000 to 

$5,000,000. Filers can specify up to 

$5,000,000 for the Target Offering 

Amount and Maximum Offering 

Amount. See Chapter 8 (Preparing and 

Transmitting Online Submissions) of 

the EDGAR Filer Manual, Volume II: 

‘‘EDGAR Filing.’’ 

• In Release 33–10231,7 the 

Commission rescinded Forms N–Q and 

N–SAR. Accordingly, effective May 10, 

2021, Release 21.1.3 modified EDGAR to 

no longer accept the following form 

types: N–Q, N–Q/A, NSAR–A, NSAR– 

A/A, NSAR–AT, NSAR–AT/A, NSAR– 

B, NSAR–B/A, NSAR–BT, NSAR–BT/A, 

NSAR–U, NSAR–U/A, NT–NSAR, and 

NT–NSAR/A. See Chapter 3 (Index to 

Forms), Chapter 7 (Preparing and 

Transmitting EDGARLink Online 

Submissions), Appendix C (EDGAR 

Submission Types), and Appendix E 

(Automated Conformance Rules for 

EDGAR Data Fields) of the EDGAR Filer 

Manual, Volume II: ‘‘EDGAR Filing.’’ 

Additional update and minor 

corrections made to the EDGAR Filer 

Manual, Volume II: ‘‘EDGAR Filing’’ 

include: 

• Updates to instructions for filing 

Form X–17A–5 Part III noting the staff 

of the Division of Trading and Markets’ 

temporary conditional no-action 

position for broker-dealers that are 

unable to obtain notarization services 

due to difficulties arising from COVID– 

19. See Section 8.2.20 of Chapter 8 

(Preparing and Transmitting Online 

Submissions). 

• Correction of the title ‘‘EDGAR TA 

XML Technical Specification.’’ See 

Chapter 3 (Index to Forms). 

• Replacement of Figure 8–188: 

‘‘Signature Screen for submission form 

type X–17A–5.’’ 

• Updates to references to ‘‘Convert 

Paper Only Filer to Electronic Filer’’ to 

‘‘Apply for EDGAR Access: Applicants 

With a CIK but Without EDGAR Access 

Codes.’’ 8


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40310 Federal Register / Vol. 86, No. 142 / Wednesday, July 28, 2021 / Rules and Regulations 

9 5 U.S.C. 553(b)(A). 

10 5 U.S.C. 601–612. 

11 5 U.S.C. 804(3)(C). 

12 5 U.S.C. 553(d)(3). 

13 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a). 

14 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78o–4, 78w, 

and 78ll. 

15 15 U.S.C. 77 sss. 

16 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37. 

EDGAR Release 21.2 also introduces 

additional changes in EDGAR that do 

not require corresponding amendments 

to the Filer Manual. See the ‘‘Updates’’ 

section of Volume II of the EDGAR Filer 

Manual, Volume II: ‘‘EDGAR Filing.’’ 

IV. Amendments to Rule 301 of 

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. Typically, 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. Due to 

pandemic conditions, however, access 

to the Commission’s Public Reference 

Room is not permitted at this time. 

V. Administrative Law Matters 

Because the Filer Manual, and form 

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’’).9 It follows that 

the amendments do not require analysis 

under requirements of the Regulatory 

Flexibility Act 10 or a report to Congress 

under the Small Business Regulatory 

Fairness Act.11

The effective date for the updated 

Filer Manual and related rule 

amendments is July 28, 2021. In 

accordance with the APA,12 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 the related 

system upgrades. 

VI. 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 1933,13 Sections 3, 12, 

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

Securities Exchange Act of 1934,14

Section 319 of the Trust Indenture Act 

of 1939,15 and Sections 8, 30, 31, and 38 

of the Investment Company Act of 

1940.16

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–37, 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 38 (June 2021). 

The requirements for filing on EDGAR 

are set forth in the updated EDGAR Filer 

Manual, Volume II: ‘‘EDGAR Filing,’’ 

Version 58 (June 2021). 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-filermanual. Typically, 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. Due to 

pandemic conditions, however, access 

to the Commission’s Public Reference 

Room is not permitted at this time. 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: June 21, 2021. 

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–15317 Filed 7–27–21; 8:45 am] 

BILLING CODE 8011–01–P 

DEPARTMENT OF THE TREASURY 

Office of Foreign Assets Control 

31 CFR Part 589 

Publication of Ukraine-Related Web 

General License 15 and Subsequent 

Iterations 

AGENCY: Office of Foreign Assets 

Control, Treasury. 

ACTION: Publication of web general 

licenses. 

SUMMARY: The Department of the 

Treasury’s Office of Foreign Assets 

Control (OFAC) is publishing 11 

Ukraine-related web general licenses 

(GLs) in the Federal Register: GL 15, GL 

15A, GL 15B, GL 15C, GL 15D, GL 15E, 

GL 15F, GL 15G, GL 15H, and GL 15I, 

each of which is now expired and was 

previously issued on OFAC’s website, as 

well as GL 15J, which was also 

previously issued on OFAC’s website 

and expires on January 26, 2022. 

DATES: GL 15J was issued on December 

23, 2020 and expires on January 26, 

2022. See SUPPLEMENTARY INFORMATION

of this rule for additional relevant dates. 

FOR FURTHER INFORMATION CONTACT: 

OFAC: Assistant Director for Licensing, 

202–622–2480; Assistant Director for 

Regulatory Affairs, 202–622–4855; or 

Assistant Director for Sanctions 

Compliance & Evaluation, 202–622– 

2490. 

SUPPLEMENTARY INFORMATION: 

Electronic Availability 

This document and additional 

information concerning OFAC are 

available on OFAC’s website: 

www.treasury.gov/ofac. 


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