23108 Federal Register / Vol. 87, No. 75 / Tuesday, April 19, 2022 / Rules and Regulations 

7 5 U.S.C. 603(a), 604(a). 

8 44 U.S.C. 3506. 1See Rule 301 of Regulation S–T. 

provide for agency discretion. 

Accordingly, a delay in effectiveness of 

the 2022 adjustments is not required. 

IV. Regulatory Requirements 

Executive Orders 12866 and 13563 

Executive Orders (EOs) 12866 and 

13563 direct agencies to assess all costs 

and benefits of available regulatory 

alternatives and, if regulation is 

necessary, to select regulatory 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety 

effects, distributive impacts, and 

equity). E.O. 13563 emphasizes the 

importance of quantifying both costs 

and benefits, of reducing costs, of 

harmonizing rules, and of promoting 

flexibility. This rule is not a significant 

regulatory action under E.O. 12866 and 

was not reviewed by the Office of 

Management and Budget (OMB). 

Regulatory Flexibility Act 

Because no notice of proposed 

rulemaking is required, the Regulatory 

Flexibility Act does not require an 

initial or final regulatory flexibility 

analysis.7

Paperwork Reduction Act 

In accordance with the Paperwork 

Reduction Act of 1995,8 NASA 

reviewed this final rule. No collections 

of information pursuant to the 

Paperwork Reduction Act are contained 

in the final rule. 

List of Subjects in 14 CFR Parts 1264 

and 1271 

Claims, Lobbying, Penalties. 

For the reasons stated in the 

preamble, the National Aeronautics and 

Space Administration is amending 14 

CFR parts 1264 and 1271 as follows: 

PART 1264—IMPLEMENTATION OF 

THE PROGRAM FRAUD CIVIL 

PENALTIES ACT OF 1986 

■ 1. The authority citation for part 1264 

continues to read as follows: 

Authority: 31 U.S.C. 3809, 51 U.S.C. 

20113(a). 

§ 1264.102 [Amended] 

■ 2. In § 1264.102, remove the number 

‘‘$11,803 everywhere it appears and add 

in its place the number ‘‘$12,537’’ 

PART 1271—NEW RESTRICTIONS ON 

LOBBYING 

■ 3. The authority citation for part 1271 

continues to read as follows: 

Authority: Section 319, Pub. L. 101–121 

(31 U.S.C. 1352); Pub. L. 97–258 (31 U.S.C. 

6301 et seq.) 

§ 1271.400 [Amended] 

■ 4. In § 1271.400: 

■ a. In paragraphs (a) and (b), remove 

the words ‘‘not less than $20,731 and 

not more than $207,314’’ and add in 

their place the words ‘‘not less than 

$22,021 and not more than $220,213.’’ 

■ b. In paragraph (e), remove ‘‘$20,731’’ 

wherever it appears and add in its place 

‘‘$22,021’’ and remove ‘‘$207,314’’ and 

add in its place ‘‘$220,213.’’ 

Appendix A to Part 1271 [Amended] 

■ 5. In appendix A to part 1271: 

■ a. Remove the number ‘‘$20,731’’ 

everywhere it appears and add in its 

place the number ‘‘$22,021.’’ 

■ b. Remove the number ‘‘$207,314’’ 

everywhere it appears and add in its 

place the number ‘‘$220,213.’’ 

Nanette J. Smith, 

Team Lead for NASA Directives and 

Regulations. 

[FR Doc. 2022–07360 Filed 4–18–22; 8:45 am] 

BILLING CODE P 

SECURITIES AND EXCHANGE 

COMMISSION 

17 CFR Part 232 

[Release Nos. 33–11043; 34–94479; 39– 

2543; IC–34536] 

Adoption of Updated EDGAR Filer 

Manual 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Final rule. 

SUMMARY: The Securities and Exchange 

Commission (‘‘Commission’’) is 

adopting amendments to Volumes I and 

II of the Electronic Data Gathering, 

Analysis, and Retrieval system 

(‘‘EDGAR’’) Filer Manual (‘‘Filer 

Manual’’) and related rules and forms. 

The EDGAR system was upgraded on 

March 21, 2022. 

DATES: Effective date: April 19, 2022. 

The incorporation by reference of the 

Filer Manual is approved by the 

Director of the Federal Register as of 

April 19, 2022. 

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, Deputy Director and 

Chief Counsel, or E. Laurita Finch, 

Senior Special Counsel, in the EDGAR 

Business Office at (202) 551–3900. For 

questions concerning submission form 

type 497VPSUB, please contact Andrea 

Magovern, Assistant Director, in the 

Division of Investment Management at 

(202) 551–6921. For questions 

concerning the payment of filing fees, 

please contact Luba Dinits in the Office 

of Financial Management at (202) 551– 

3839. For questions concerning the 

structured data requirements for Forms 

N–3, N–4, and N–6, please contact 

Heather Fernandez, Financial Analyst, 

in the Division of Investment 

Management at (202) 551–6708. For 

questions regarding non-broker-dealer 

filers that are filing pursuant to a 

Commission substituted compliance 

order, please contact Randall Roy, 

Deputy Associate Director, at (202) 551– 

5522, or Valentina Deng, Special 

Counsel, at (202) 551–5778 in the 

Division of Trading and Markets. For 

questions about EX–99.36 Form 7–R, 

please contact Pamela Carmody in the 

Division of Trading and Markets at (202) 

551–6991. For questions regarding 

submission form types MA–A and MA– 

A/A, please contact Mark Stewart, 

Attorney-Advisor, in the Office of 

Municipal Securities, at (202) 551–4410. 

For questions regarding Form X–17A–5 

Part III, please contact Rose Wells, 

Senior Counsel, in the Division of 

Trading and Markets, at (202) 551–5527. 

For questions concerning taxonomies or 

schemas, 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 Filer Manual, 

Volume I: ‘‘General Information,’’ 

Version 40 (March 2022) and Volume II: 

‘‘EDGAR Filing,’’ Version 61 (March 

2022) and amendments to 17 CFR 

232.301 (‘‘Rule 301’’). 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 

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. 


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Federal Register / Vol. 87, No. 75 / Tuesday, April 19, 2022 / Rules and Regulations 23109 

2Release 22.1 will be deployed on or about March 

21, 2022. 

3See Commission Statement on Insurance 

Product Fund Substitution Applications, Release 

IC–34199 (Feb. 23, 2021) [86 FR 11813 (Feb. 26, 

2021)]. 

4See Filing Fee Disclosure and Payment Methods 

Modernization, Release 33–10997 (Oct. 13, 2021) 

[86 FR 70166 (Dec. 9, 2021)]. 

5See Updated Disclosure Requirements and 

Summary Prospectus for Variable Annuity and 

Variable Life Insurance Contracts, Release 33–10765 

(March 11, 2020) [85 FR 25964 (May 1, 2020)]. 

6See Draft Taxonomies available at https://

www.sec.gov/structureddata/dera_taxonomies. 

7See, e.g., Order Granting Conditional 

Substituted Compliance in Connection with Certain 

Requirements Applicable to Non-U.S. SecurityBased Swap Dealers and Major Security-Based 

Swap Participants Subject to Regulation in the 

United Kingdom, Release 34–92529 (July 30, 2021), 

86 FR 43318 (Aug. 6, 2021); Order Granting 

Conditional Substituted Compliance in Connection 

With Certain Requirements Applicable to Non-U.S. 

Security-Based Swap Dealers Subject to Regulation 

in the Swiss Confederation, Release 24–93284 (Oct. 

8, 2021), 86 FR 57455 (Oct. 15, 2021). 

II. Amendment and Functional 

Enhancement to Volume I of the Filer 

Manual 

Volume I of the Filer Manual provides 

general information regarding electronic 

submissions to the Commission on 

EDGAR. Volume I will be amended to 

add a link to the Glossary of Commonly 

Used Terms, Acronyms, and 

Abbreviations. This, together with the 

guidance already included in Volume I 

encouraging users to visit the EDGARInformation For Filers homepage on 

SEC.gov, will provide additional helpful 

introductory information to current and 

prospective EDGAR filers. As noted 

below, Volume II will also be revised to 

remove the Glossary from that volume 

and to add a link to the Glossary on 

SEC.gov. 

III. EDGAR System Changes and 

Associated Modifications to Volume II 

of the Filer Manual 

EDGAR is being updated in Release 

22.1, and was previously updated in 

Releases 21.3.1 and 22.0.2, and 

corresponding amendments to Volume 

II of the Filer Manual will be made to 

reflect these changes, as described 

below.2

On February 23, 2021, the 

Commission issued a Statement on 

Insurance Product Fund Substitution 

Applications (‘‘Commission 

Statement’’).3 As a result, the 

substitution by an insurance company 

of registered open-end investment 

companies used as Investment Options 

(as defined in the Commission 

Statement) for variable life insurance 

policies or variable annuity contracts 

will not provide a basis for an 

enforcement action if the insurance 

company does not obtain an order from 

the Commission under section 26(c) of 

the Investment Company Act (and 

section 17(b) of the Investment 

Company Act for certain substitutions) 

so long as the terms and conditions of 

the proposed substitution are 

substantially similar to those approved 

by a prior order for a substitution 

pursuant to section 26(c) (and section 

17(b)) obtained by the insurance 

company since January 1, 2004. 

Pursuant to the Commission’s 

Statement, EDGAR Release 22.1 will 

introduce a new submission form type 

to EDGARLink Online: 497VPSUB. 

On October 13, 2021, the Commission 

adopted rules and form amendments to 

modernize filing fee disclosure and 

payment methods.4 As part of that 

rulemaking, the Commission added 

options for electronic fee payments, and 

eliminated options for fee payment via 

paper checks and money orders in an 

effort to improve filing fee payment 

processing. EDGAR will be updated to 

allow filers to pay filing fees via credit 

card, debit card, and Automated 

Clearing House (ACH) debit payment 

methods. EDGAR will use Treasury’s 

Pay.gov service for filers to initiate 

payments in the system, and rely on 

Pay.gov to perform the payment 

processing. The lockbox for the receipt 

of checks will no longer be available as 

of May 31, 2022. Checks received on or 

after this date will be returned to the 

sender. 

On March 11, 2020, the Commission 

adopted rule and form amendments 

regarding variable annuity and variable 

life insurance contracts to modernize 

disclosures by using a layered 

disclosure approach designed to provide 

investors with key information relating 

to the contract’s terms, benefits, and 

risks in a concise and more readerfriendly presentation.5 Among other 

things, to implement the new disclosure 

framework, the Commission is requiring 

investment companies that offer 

variable contracts to tag certain 

disclosures in Forms N–3, N–4, and N– 

6 in Inline eXtensible Business 

Reporting Language (‘‘Inline XBRL’’) 

beginning January 1, 2023. In 

conjunction with the amendments, 

EDGAR will be updated to support the 

2022 Variable Insurance Product (VIP) 

Taxonomy.6

The Commission has issued orders 

granting substituted compliance with 

respect to the requirements of Exchange 

Act Rule 18a–7 which requires that 

security-based swap dealers file annual 

audited financial statements and 

reports.7 These orders require a 

security-based swap dealer applying 

substituted compliance with respect to 

these requirements of Rule 18a–7 to, 

among other things, simultaneously 

send to the Commission a copy of the 

firm’s annual financial statements filed 

pursuant to the firm’s home-country 

requirements and the report of the 

independent public accountant covering 

the annual financial statements. In 

accordance with these orders, EDGAR is 

being updated to allow filers that are not 

broker-dealers to select the new ‘‘Filing 

pursuant to a Commission substituted 

compliance order’’ check box. Such 

firms would be permitted to make the 

entirety of their filing confidential. 

EDGAR Release 22.1 will also make 

general functional enhancements to 

EDGAR and require changes to Volume 

II of the Filer Manual as follows: 

• New exhibit ‘‘EX–99.36 Form 7–R’’ 

(Firm Application) is being added to the 

drop down exhibit list for submission 

form types SBSE–A and SBSE–A/A. 

This gives SBSE–A filers, who file Form 

7–R with the Commodity Futures 

Trading Commission (or its designee), 

and who are required to file that form 

with the Commission, a designated 

location to place it when filing on 

EDGAR. Filers can attach ‘‘EX–99.36 

Form 7–R’’ in official HTML, ASCII, or 

PDF format. 

• Appendix B ‘‘Frequently Asked 

Questions’’ (FAQs) has been modified, 

and Appendix F ‘‘Glossary of 

Commonly Used Terms, Acronyms and 

Abbreviations’’ has been removed. 

Appendix B is now titled, ‘‘EDGAR— 

Information for Filers,’’ and links to the 

‘‘EDGAR Information for Filers’’ web 

page on SEC.gov, containing a revised 

Glossary and updated FAQs, including 

a ‘‘How Do I?’’ guide with step-by-step 

instructions concerning filing on 

EDGAR (available at: https://

www.sec.gov/edgar/filer-information/ 

how-do-i). 

• Appendix D ‘‘Paper Forms’’ has 

been revised to remove screen shots of 

the paper forms. A notice that current 

and prospective EDGAR filers can 

download electronic copies of EDGARrelated forms from https://www.sec.gov/ 

forms remains. 

The Filer Manual Volume II also has 

been revised to address software 

changes previously made in EDGAR: 

• On February 22, 2022, EDGAR 

Release 22.0.2 introduced the following 

change: 

• Submission form types MA–A and 

MA–A/A will be validated to prevent 

filers from submitting a form with the 

incorrect fiscal year. Filers will not be 

able to submit their annual amendment 

in EDGAR for a fiscal year that has not 

yet been completed in the ‘‘Fiscal Year 


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23110 Federal Register / Vol. 87, No. 75 / Tuesday, April 19, 2022 / Rules and Regulations 

8 5 U.S.C. 553(b)(A). 

9 5 U.S.C. 601 through 612. 

10 5 U.S.C. 804(3)(C). 

11 5 U.S.C. 553(d)(3). 

12 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a). 

13 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78o–4, 78w, 

and 78ll. 

14 15 U.S.C. 77sss. 

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

End Information’’ field on Item 1, Part 

I of the form. 

• On September 20, 2021, EDGAR 

Release 21.3 introduced the following 

change: 

• In Rule 34–87005, Recordkeeping 

and Reporting Requirements for 

Security-Based Swap Dealers, Major 

Security-Based Swap Participants, and 

Broker-Dealers, the Commission 

adopted a revised version of Form X– 

17A–5 Part III. In accordance with these 

rules, EDGAR was updated to allow 

Form X–17A–5 Part III to be filed by two 

new classes of registrants (securitybased swap dealers and major securitybased swap participants). These changes 

were deployed in Release 21.3.1 on 

October 6, 2021. 

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, Room 1580, 

Washington, DC 20549, on official 

business days between the hours of 10 

a.m. and 3 p.m. Operating conditions 

may limit access to the Commission’s 

Public Reference Room. 

V. Administrative Law Matters 

Because the Filer Manual, 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’’).8 It follows that 

the amendments do not require analysis 

under requirements of the Regulatory 

Flexibility Act 9 or a report to Congress 

under the Small Business Regulatory 

Enforcement Fairness Act of 1996.10

The effective date for the updated 

Filer Manual and related rule 

amendments is April 19, 2022. In 

accordance with the APA,11 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 1933,12 Sections 3, 12, 

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

Securities Exchange Act of 1934,13

Section 319 of the Trust Indenture Act 

of 1939,14 and Sections 8, 30, 31, and 38 

of the Investment Company Act of 

1940.15

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 general authority citation for 

part 232 continues to read 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 EDGAR Filer Manual, 

Volume I: ‘‘General Information,’’ 

Version 40 (March 2022). The 

requirements for filing on EDGAR are 

set forth in the updated EDGAR Filer 

Manual, Volume II: ‘‘EDGAR Filing,’’ 

Version 61 (March 2022). 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. Operating 

conditions may limit access to the 

Commission’s Public Reference Room. 

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 fr.inspection@

nara.gov, or go to: https://

www.archives.gov/federal-register/cfr/ 

ibr-locations.html. 

By the Commission. 

Dated: March 21, 2022. 

Vanessa A. Countryman, 

Secretary. 

[FR Doc. 2022–08232 Filed 4–18–22; 8:45 am] 

BILLING CODE 8011–01–P 

DEPARTMENT OF TRANSPORTATION 

National Highway Traffic Safety 

Administration 

49 CFR Part 586 

[Docket No. NHTSA–2021–0006] 

RIN 2127–AL77 

Vehicle Identification Number (VIN) 

Requirements; Manufacturer 

Identification; Certification; Replica 

Motor Vehicles; Importation of 

Vehicles and Equipment Subject to 

Federal Safety, Bumper, and Theft 

Prevention Standards 

AGENCY: National Highway Traffic 

Safety Administration (NHTSA), 

Department of Transportation (DOT). 

ACTION: Correcting amendment. 

SUMMARY: On March 9, 2022, the 

NHTSA issued regulations 

implementing the Replica Motor 

Vehicle program. That document 

included an incorrectly designated 

paragraph in the final regulatory text for 

the section titled ‘‘Temporary labels.’’ 

This document corrects the final 

regulatory text. 

DATES: Effective April 19, 2022. 


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