Document ID: SEC-2014-0387-0001
Agency: sec
Document Type: Rule
Title: EDGAR Filer Manual Update
Posted Date: 2014-03-10T04:00Z

[Federal Register Volume 79, Number 46 (Monday, March 10, 2014)]
[Rules and Regulations]
[Pages 13216-13218]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-05057]

=======================================================================
-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 232

[Release Nos. 33-9554; 34-71643; 39-2496; IC-30972]

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 revisions are being made primarily to 
introduce new submission form types MA, MA-A, MA/A, MA-I, MA-I/A, and 
MA-W to support Registration of Municipal Advisors; updates to 
submission form types 8-K, 8-K/A, 10-K, 10-K/A, 10-KT, 10-KT/A, 10-D, 
10-D/A, POS AM, 424B1, 424B2, 424B3, 424B4, 424B5, 424B7, and 424B8; 
and minor updates to Form 13F validations. The EDGAR system is 
scheduled to be upgraded to support this functionality on March 3, 
2014.

DATES: Effective Date: March 10, 2014. The incorporation by reference 
of the EDGAR Filer Manual is approved by the Director of the Federal 
Register as of March 10, 2014.

FOR FURTHER INFORMATION CONTACT: In the Office of Municipal Securities, 
for questions concerning Registration of Municipal Advisors contact 
Jessica Kane at (202) 551-3235; in the Division of Investment 
Management, for questions concerning Form 13F contact Heather Fernandez 
at (202) 551-6715; and in the Office of Information Technology, contact 
Vanessa Anderson at (202) 551-8800.

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

[[Page 13217]]

requirements for filing using EDGARLink Online and the Online Forms/XML 
Web site.
---------------------------------------------------------------------------

    \1\ We 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 25, 2013. See Release No. 33-9457 (October 
2, 2013) [78 FR 60684].
---------------------------------------------------------------------------

    The revisions to the Filer Manual reflect changes within Volume I 
entitled EDGAR Filer Manual, Volume I: ``General Information,'' Version 
16 (March 2014) and Volume II entitled EDGAR Filer Manual, Volume II: 
``EDGAR Filing,'' Version 26 (March 2014). 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\
---------------------------------------------------------------------------

    \2\ See Rule 301 of Regulation S-T (17 CFR 232.301).
    \3\ See Release No. 33-9457 in which we implemented EDGAR 
Release 13.3. For additional history of Filer Manual rules, please 
see the cites therein.
---------------------------------------------------------------------------

    The EDGAR system will be upgraded to Release 14.0 on March 3, 2014 
and will introduce the following changes: EDGAR will be updated to add 
new submission form types MA, MA-A, MA/A, MA-I, MA-I/A, and MA-W on the 
EDGAR Filing Web site. These submission form types can be accessed by 
selecting the `File Municipal Advisor Forms' link available on the 
EDGAR Filing Web site. Instructions to file the Municipal Advisor Forms 
are included in two new sections of Chapter 9 (Preparing and 
Transmitting Online Submissions) of the ``EDGAR Filer Manual, Volume 
II: EDGAR Filing'' to guide filers through the filing process. See 
Release No. 34-70462 \4\ for the compliance dates.
---------------------------------------------------------------------------

    \4\ See Release No. 34-70462 (September 20, 2013) [78 FR 67467 
(November 12, 2013)].
---------------------------------------------------------------------------

    Submission form types 8-K, 8-K/A, 10-K, 10-K/A, 10-KT, 10-KT/A, 10-
D, 10-D/A, POS AM, 424B1, 424B2, 424B3, 424B4, 424B5, 424B7, and 424B8 
will be updated to collect Depositor CIK, Sponsor CIK, ABS Asset Class, 
and ABS Sub Asset Class information for filings where the primary 
registrant CIK is designated as an Asset-Backed Securities issuing 
entity (i.e., entities assigned the Standard Industrial Classification 
Code 6189).
    Submission form types 13F-HR/A will be updated to allow a future 
date for the ``Date denied or on which confidential treatment expired'' 
field.
    For EDGARLink Online application, recommended version for Firefox 
browser is being changed from 3.5 to 17.0 or higher. For all EDGAR Web 
sites, Microsoft Internet Explorer 7.0 or later is the recommended 
browser. Additionally, minor documentation only corrections were made 
to the Chapter 6, Interactive Data, sections 6.5.20 and 6.6.29.
    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.
    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 1543, Washington, DC 20549, on 
official business days between the hours of 10:00 a.m. and 3:00 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 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).\5\ It follows that the requirements of the Regulatory 
Flexibility Act \6\ do not apply.
---------------------------------------------------------------------------

    \5\ 5 U.S.C. 553(b).
    \6\ 5 U.S.C. 601-612.
---------------------------------------------------------------------------

    The effective date for the updated Filer Manual and the rule 
amendments is March 10, 2014. 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 14.0 is scheduled to become available on March 3, 2014. 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.
---------------------------------------------------------------------------

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

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\
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

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

0
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.
* * * * *

0
2. Section 232.301 is revised to read as follows:

Sec.  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 16 (March 2014). The requirements for filing on 
EDGAR are set forth in the updated EDGAR Filer Manual, Volume II: 
``EDGAR Filing,'' Version 26 (March 2014). Additional provisions 
applicable to Form N-SAR filers are set forth in the EDGAR Filer 
Manual, Volume III: ``N-SAR Supplement,'' Version 2 (August 2011). 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 1543, 
Washington, DC

[[Page 13218]]

20549, on official business days between the hours of 10:00 a.m. and 
3:00 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.

    Dated: March 4, 2014.

    By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2014-05057 Filed 3-7-14; 8:45 am]
BILLING CODE 8011-01-P