57130 Federal Register / Vol. 70, No. 189 / Friday, September 30, 2005 / Rules and Regulations 

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 June 6, 2005. See Release No. 33–8573 

(May 19, 2005) [70 FR 30899]. 

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 Nos. 33–6977 (February 23, 1993) 

[58 FR 14628], IC–19284 (February 23, 1993) [58 FR 

14848], 35–25746 (February 23, 1993) [58 FR 

14999], and 33–6980 (February 23, 1993) [58 FR 

15009] in which we comprehensively discuss the 

rules we adopted to govern mandated electronic 

filing. See also Release No. 33–7122 (December 19, 

1994) [59 FR 67752], in which we made the EDGAR 

rules final and applicable to all domestic 

registrants; Release No. 33–7427 (July 1, 1997) [62 

FR 36450], in which we adopted minor 

amendments to the EDGAR rules; Release No. 33–

7472 (October 24, 1997) [62 FR 58647], in which 

we announced that, as of January 1, 1998, we would 

not accept in paper filings that we require filers to 

submit electronically; Release No. 34–40934 

(January 12, 1999) [64 FR 2843], in which we made 

mandatory the electronic filing of Form 13F; 

Release No. 33–7684 (May 17, 1999) [64 FR 27888], 

in which we adopted amendments to implement 

the first stage of EDGAR modernization; Release No. 

33–7855 (April 24, 2000) [65 FR 24788], in which 

we implemented EDGAR Release 7.0; Release No. 

33–7999 (August 7, 2001) [66 FR 42941], in which 

we implemented EDGAR Release 7.5; Release No. 

33–8007 (September 24, 2001) [66 FR 49829], in 

which we implemented EDGAR Release 8.0; 

Release No. 33–8224 (April 30, 2003) [66 FR 24345], 

in which we implemented EDGAR Release 8.5; 

Release Nos. 33–8255 (July 22, 2003) [68 FR 44876] 

and 33–8255A (September 4, 2003) [68 FR 53289] 

in which we implemented EDGAR Release 8.6; 

Release No. 33–8409 (April 19, 2004) [69 FR 21954] 

in which we implemented EDGAR Release 8.7; 

Release No. 33–8454 (August 6, 2004) [69 FR 49803] 

in which we implemented EDGAR Release 8.8; 

Release No. 33–8528 (February 3, 2005) [70 FR 

6573] in which we implemented EDGAR Release 

8.10; and Release No. 33–8573 (May 19, 2005) [70 

FR 30899] in which we implemented EDGAR 

Release 9.0. 

relieve the permittee of his/her 

obligation to comply with all other 

applicable Federal, State, and local 

laws. 

Dated: September 23, 2005. 

Richard W. Spinrad, 

Assistant Administrator, Ocean Services and 

Coastal Zone Management, National Oceanic 

and Atmospheric Administration. 

[FR Doc. 05–19502 Filed 9–29–05; 8:45 am] 

BILLING CODE 3510–NK–P 

SECURITIES AND EXCHANGE 

COMMISSION 

17 CFR Part 232 

[Release Nos. 33–8612; 34–52477; 35–

28033; 39–2439; IC–27070] 

RIN 3235–AG96 

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 

changes made to improve, reorganize 

and restructure the EDGAR Filer 

Manual volumes to make it easier for 

filers and those wishing to apply for 

EDGAR access codes to locate the 

information that they need to apply for 

EDGAR access, maintain company 

information and submit a filing. With 

this reorganization, no changes have 

been made to the filing process. 

The revisions to the Filer Manual 

reflect changes within Volumes I, II and 

III, entitled ‘‘EDGAR Filer Manual 

Volume I General Information,’’

‘‘EDGAR Filer Manual Volume II 

EDGAR Filing,’’ and ‘‘EDGAR Filer 

Manual Volume III N–SAR 

Supplement’’ respectively. The updated 

manual will be incorporated by 

reference into the Code of Federal 

Regulations. 

EFFECTIVE DATE: October 14, 2005. The 

incorporation by reference of the 

EDGAR Filer Manual is approved by the 

Director of the Federal Register as of 

October 14, 2005. 

FOR FURTHER INFORMATION CONTACT: In 

the Office of Information Technology, 

Rick Heroux, at (202) 551–8800; for 

questions concerning the Division of 

Corporation Finance filings, in the 

Division of Corporation Finance, 

Herbert Scholl, Office Chief, EDGAR 

and Information Analysis, at (202) 942–

2940; for questions concerning the 

Division of Investment Management 

filings, in the Division of Investment 

Management, Ruth Armfield Sanders, 

Senior Special Counsel, at (202) 551–

6989; and, in the Office of Filings and 

Information Services, Velma Smith, at 

(202) 942–8900. 

SUPPLEMENTARY INFORMATION: Today we 

are adopting an updated EDGAR Filer 

Manual (Filer Manual). The Filer 

Manual describes how to become an 

EDGAR filer and 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 should consult the Filer 

Manual in conjunction with our rules 

governing mandated electronic filing 

when preparing documents for 

electronic submission.4

The revisions to the EDGAR Filer 

Manual volumes are being made to 

improve, reorganize and restructure the 

EDGAR Filer Manual volumes to make 

it easier for filers, and those wishing to 

apply for EDGAR access codes, to locate 

the information that they need to apply 

for EDGAR access, maintain company 

information and submit electronic 

filings. The EDGAR Filer Manual has 

also been rearranged to eliminate 

information that was repeated between 

the different volumes and to be more 

aligned with the logical functions 

performed by EDGAR users. The 

reorganized filer manual does not 

include any changes to the filing 

process. 

The EDGAR Filer Manual Volume I 

General Information covers the EDGAR 

application process, outlines how to 

keep company data, which is stored in 

EDGAR, current and provides a brief 

introduction to the filing process. The 

appendices in this volume, as well as 

those that are a part of the other 

volumes, ‘‘Glossary of Commonly Used 

Terms, Acronyms, and Abbreviations’’

and ‘‘Frequently Asked Questions’’ for 

example, only contain information 

specific to the processes and concepts 

covered within the volume. The 

appendices are no longer repeated in 

each volume. Volume I is intended to be 

a reference for those that need to obtain 

EDGAR access, those that are new to 

EDGAR and those that are responsible 

for keeping company information 

current. 

The EDGAR Filer Manual Volume II 

EDGAR Filing focuses entirely on the 

filing process. It illustrates each step of 

the process to submit an electronic 

submission and helps filers understand 

the tools provided by the SEC for 

constructing and transmitting those 

submissions, concisely consolidating 

information previously provided in the 

former EDGAR Release 9.0 EDGARLink 

Filer Manual Volume I and EDGAR 

Release 9.0 OnlineForms Filer Manual 

Volume III. It also provides a much 

improved Index to Forms which, in 

addition to the Submission Type and 

Description, adds the name of the tool 

(e.g., EDGARLink or Online Forms/XML 

Web site), the template number that 

contains that particular submission type 

and the Filer Constructed Form 

Specification (formerly known as 

‘‘Reduced Content Filing Specification’’) 

that should be used by those that 

Federal Register / Vol. 70, No. 189 / Friday, September 30, 2005 / Rules and Regulations 57131 

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

6 5 U.S.C. 601–612. 

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

8 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll. 

9 15 U.S.C. 79t. 

10 15 U.S.C. 77sss. 

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

prepare filings without using 

EDGARLink or the OnlineForms/XML 

Web site. The Index to Forms is 

provided in alphanumeric order, which 

can be used by those that only know the 

submission type, as well as by Act. This 

volume is intended to be a reference for 

those that are responsible for submitting 

filings to the SEC via the EDGAR 

system. 

The EDGAR Filer Manual Volume III 

N–SAR Supplement is the guide for 

preparing the electronic submissions of 

Form N–SAR. While this volume used 

to be Volume II of the EDGAR Filer 

Manual, its current content has 

remained essentially unchanged with 

the exception of the minor 

modifications necessary to update 

references to the other updated Filer 

Manual volumes. 

Prior to the reorganization of the 

EDGAR Filer Manual, the version 

numbers assigned to each volume were 

based upon the EDGAR release number 

in which it was implemented. As of this 

revised Filer Manual, each volume will 

be baselined at Version One and will no 

longer follow the EDGAR release 

numbers. This will prevent the need to 

make changes to the EDGAR Filer 

Manual volumes simply to update the 

EDGAR release when none of the other 

content has been changed. The EDGAR 

Filer Manual volumes will only be 

updated when changes are made to the 

functions contained within a particular 

volume. Filers should consult the SEC’s 

Public Web site, EDGAR Filing Web site 

or the EDGAR OnlineForms/XML Web 

site to determine the current version of 

the software or documents. 

The SEC maintains a number of Web 

sites and URLs to support the filing 

process. As more sites and URLs have 

been developed, it has become more 

complicated for filers to find the correct 

site for a single function. To give filers 

a central location from which they can 

navigate to the EDGAR Web site that 

they need to access rather than having 

to remember the different URLs to each 

of the EDGAR Filing Web sites, we 

created an EDGAR Gateway Web site 

that can be reached at the following 

URL: https:// 

www.portal.edgarfiling.sec.gov. The use 

of the new EDGAR Gateway Web site is 

optional. The existing EDGAR Filer 

Management, EDGAR Filing and 

EDGAR OnlineForms/XML Web sites 

can still be accessed as they have 

previously. The EDGAR Gateway Web 

site is expected to be available on or 

about September 26, 2005. 

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 1580, 

Washington DC 20549. 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. You may also obtain 

copies from Thomson Financial, the 

paper document contractor for the 

Commission, at (800) 638–8241. 

Since the Filer Manual relates solely 

to agency procedures or practice, 

publication for notice and comment is 

not required under the Administrative 

Procedure Act.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 fourteen (14) days after publication in 

the Federal Register. Because the 

changes made to reorganize the Filer 

Manual were made solely for the 

purposes of clarity and do not change 

the filing process, we find that there is 

good cause to establish an effective date 

less than 30 days after publication of 

these rules. 

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 

1933,7 Sections 3, 12, 13, 14, 15, 23, and 

35A of the Securities Exchange Act of 

1934,8 Section 20 of the Public Utility 

Holding Company Act of 1935,9 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. 

■ 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), 77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 

78w(a), 78ll(d), 79t(a), 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 EDGAR Filer Manual, 

Volume I: ‘‘General Information,’’

Version 1 (September 2005). The 

requirements for filing on EDGAR are 

set forth in the EDGAR Filer Manual, 

Volume II: ‘‘EDGAR Filing,’’ Version 1 

(September 2005). 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 1580, Washington, DC 

20549 or by calling Thomson Financial 

at (800) 638–8241. 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 photocopy 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. 

Dated: September 21, 2005. 

57132 Federal Register / Vol. 70, No. 189 / Friday, September 30, 2005 / Rules and Regulations 

By the Commission. 

Jonathan G. Katz, 

Secretary. 

[FR Doc. 05–19315 Filed 9–29–05; 8:45 am] 

BILLING CODE 8010–01–P 

SOCIAL SECURITY ADMINISTRATION 

20 CFR Parts 404 and 416 

[Regulations No. 4 and 16] 

RIN 0960–AF21 

Reinstatement of Entitlement to 

Disability Benefits 

AGENCY: Social Security Administration. 

ACTION: Final rules. 

SUMMARY: We are publishing final rules 

regarding the Reinstatement of 

Entitlement (Expedited Reinstatement) 

provision in section 112 of the Ticket to 

Work and Work Incentives 

Improvement Act of 1999. This 

provision allows former Social Security 

disability and Supplemental Security 

Income (SSI) disability or blindness 

beneficiaries, whose entitlement or 

eligibility had been terminated due to 

their work activity, to have their 

entitlement or eligibility reinstated in a 

timely fashion if they become unable to 

do substantial gainful work. These rules 

provide beneficiaries an additional 

incentive to return to work. 

DATES: Effective Date: These final rules 

are effective on October 31, 2005. 

Electronic Version: The electronic file 

of this document is available on the date 

of publication in the Federal Register at 

http://www.gpoaccess.gov/fr/ 

index.html. It is also available on the 

Internet site for SSA (i.e., Social 

Security Online): http:// 

www.socialsecurity.gov/regulations/. 

FOR FURTHER INFORMATION CONTACT: John 

Nelson, Team Leader, Employment 

Policy Team, Office of Program 

Development and Research, Social 

Security Administration, 6401 Security 

Boulevard, Room 128 Altmeyer 

Building, Baltimore, Maryland 21235–

6401, (410) 966–5114 or TTY (410) 966–

5609. For information on eligibility or 

filing for benefits: Call our national tollfree number, 1–(800) 772–1213 or TTY 

1–(800) 325–0778, or visit our Internet 

web site, Social Security Online, at 

http://www.socialsecurity.gov/. 

SUPPLEMENTARY INFORMATION: 

Background 

The expedited reinstatement 

provision, along with other work 

incentives and the Ticket to Work 

program contained in the Ticket to 

Work and Work Incentives 

Improvement Act of 1999 (Pub. L. 106–

170) is intended to expand your options 

as a Social Security disability 

beneficiary or a disabled or blind 

Supplemental Security Income 

recipient. We expect that the expedited 

reinstatement provision along with 

other provisions in the Ticket to Work 

and Work Incentives Improvement Act 

of 1999 will remove some of the 

disincentives that may discourage you 

from either attempting to work or 

increasing your work activity. If more 

beneficiaries with disabilities engage in 

self-supporting work, the net result will 

be an increase in the independence of 

disabled beneficiaries, a reduction in 

the Social Security and Supplemental 

Security Income disability rolls, and 

savings to the Social Security Trust 

Fund and general revenues. 

General Goals of the Expedited 

Reinstatement Provision 

The expedited reinstatement 

provision is intended to relieve some 

concerns you may have about returning 

to work. If we terminate your 

entitlement or eligibility for benefits due 

to your work activity, this provision 

provides you an easier way to have your 

entitlement or eligibility reinstated and 

to be placed back into payment status. 

This process should ease some concerns 

you may have about what will happen 

if your attempt to return to work is 

unsuccessful. 

Advice of the Ticket to Work and Work 

Incentives Advisory Panel 

During the preparation of these final 

rules, we consulted with the Ticket to 

Work and Work Incentives Advisory 

Panel. The Ticket to Work and Work 

Incentives Advisory Panel was 

established by section 101(f) of the 

Ticket to Work and Work Incentives 

Improvement Act of 1999. This panel 

advises the President, the Congress, and 

us on issues related to work incentive 

programs, planning and assistance for 

individuals with disabilities and the 

Ticket to Work Program established 

under this Act. 

Section 112 of the Ticket to Work and 

Work Incentives Improvement Act of 

1999 

Congress indicated that the purpose of 

section 112 of the Ticket to Work and 

Work Incentives Improvement Act of 

1999 (the expedited reinstatement 

provision) was to encourage disability 

beneficiaries to return to work by 

reassuring them that if they meet our 

disability standards their benefits would 

be restored in a timely fashion should 

they become unable to continue 

working. 

The expedited reinstatement 

provision provides a method for you to 

have your disability benefits reinstated 

without filing an application if you have 

had your entitlement to, or eligibility 

for, benefits terminated due to your 

work activity during the previous 5 

years, and you can no longer do 

substantial gainful activity. 

Effect of the Expedited Reinstatement 

Provision 

The expedited reinstatement 

provision provides you another option 

for regaining entitlement to benefits 

under title II and eligibility under title 

XVI of the Act after we have terminated 

your entitlement to or eligibility for 

disability benefits due to your work 

activity. If you file a request for 

expedited reinstatement, you can still 

file a new application for benefits under 

existing initial claim rules. 

Prior to the effective date of this 

provision, when we terminated your 

entitlement or eligibility due to work 

activity, you were required to file a new 

application to become entitled to or 

eligible for benefits again. We processed 

your application under rules that 

required a new disability determination 

using the medical requirements that we 

apply when you file an initial claim for 

benefits. You generally were entitled to 

receive benefits only after we processed 

your entitlement or eligibility 

determination. If we determined that 

you again qualified for benefits, you 

became eligible for work incentives 

such as the trial work period, the 

reentitlement period, and special SSI 

eligibility status under your new period 

of disability. 

The expedited reinstatement 

provision provides you the option of 

requesting that your prior entitlement to 

or eligibility for disability benefits be 

reinstated, rather than filing a new 

application for a new period of 

entitlement or eligibility. Since January 

1, 2001, you can request to be reinstated 

to benefits if you stop doing substantial 

gainful activity within 60 months of 

your prior termination. At the time you 

request reinstatement, you must be 

unable to engage in substantial gainful 

activity because of your medical 

condition. Your current impairment 

must be the same as or related to your 

prior impairment and you must be 

disabled. To determine if you are 

disabled, we will use our medical 

improvement review standard that we 

use in our continuing disability review 

process. Under the medical 

improvement review standard, we will 

generally find that you are disabled,