Source: https://www.law.cornell.edu/cfr/text/17/232.104
Timestamp: 2017-05-01 02:36:22
Document Index: 139630970

Matched Legal Cases: ['§ 232', '§ 249', '§ 249', '§ 249', '§ 239', '§ 249', '§ 249', '§ 249', '§ 239', 'art 232', 'art 232', 'art 232', 'art 232', 'art 232', 'art 232', 'art 232', 'art 232', 'art 232']

17 CFR 232.104 - Unofficial PDF copies included in an electronic submission. | US Law | LII / Legal Information Institute
§ 232.104 Unofficial PDF copies included in an electronic submission.
(a) An electronic submission, other than a Form 3 ( § 249.103 of this chapter), a Form 4 ( § 249.104 of this chapter), a Form 5 ( § 249.105 of this chapter), a Form ID (§§ 239.63, 249.446, 269.7 and 274.402 of this chapter), a Form TA-1 ( § 249.100 of this chapter), a Form TA-2 ( § 249.102 of this chapter), a Form TA-W ( § 249.101 of this chapter) or a Form D ( § 239.500 of this chapter), may include one unofficial PDF copy of each electronic document contained within that submission, tagged in the format required by the EDGAR Filer Manual.
(2) If the amendment is being filed to add or resubmit an unofficial PDF copy of one or more exhibits, the submission may consist of the following: the official filing - consisting of the cover page (or first page of the document), the explanatory note, the signature page (where appropriate), the exhibit index, and a separate electronic exhibit document for each exhibit for which an unofficial PDF copy is being submitted - and the corresponding unofficial PDF copy of each exhibit document. However, the text of the official exhibit document need not repeat the text of the exhibit; that document may contain only the following legend: RESUBMITTED TO ADD/REPLACE UNOFFICIAL PDF COPY OF EXHIBIT.
(d) An unofficial PDF copy is not filed for purposes of section 11 of the Securities Act ( 15 U.S.C. 77k), section 18 of the Exchange Act ( 15 U.S.C. 78r), section 323 of the Trust Indenture Act ( 15 U.S.C. 77www), or section 34(b) of the Investment Company Act ( 15 U.S.C. 80a-33(b)), or otherwise subject to the liabilities of such sections, and is not part of any registration statement to which it relates. An unofficial PDF copy is, however, subject to all other civil liability and anti-fraud provisions of the above Acts or other laws.
(e) Unofficial PDF copies that are prospectuses are subject to liability under Section 12 of the Securities Act ( 15 U.S.C. 77l).
[ 64 FR 27895, May 21, 1999, as amended at 65 FR 24800, Apr. 27, 2000; 68 FR 25799, May 13, 2003; 69 FR 22709, Apr. 26, 2004; 71 FR 74708, Dec. 12, 2006; 73 FR 10616, Feb. 27, 2008; 76 FR 71876, Nov. 21, 2011]
Title 17 published on 14-Apr-2017 03:30The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 232 after this date.2017-03-31; vol. 82 # 61 - Friday, March 31, 201782 FR 15993 - Adoption of Updated EDGAR Filer Manual
typeregulations.gov FR Doc.2017-06290 RIN Release Nos.33-10324 34-80182 39-2516 IC-32527 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective March 31, 2017. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of March 31, 2017. 17 CFR Part 232 SummaryThe 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 updates are being made primarily to support the new online version of the Transfer Agent submission form types; provide for the ability for filers to submit duplicate filings for submission form type 10-D; and provide for the ability for filers to upload the notarized authentication document and the power of attorney as separate CORRESP documents when submitting a request to manually update their EDGAR filing passphrase. The EDGAR system was upgraded to support the US GAAP 2017 Taxonomy on March 6, 2016. The EDGAR system is scheduled to be upgraded to support the other functionalities on March 13, 2017.
2017-02-08; vol. 82 # 25 - Wednesday, February 8, 201782 FR 9680 - Adoption of Updated EDGAR Filer Manual
typeregulations.gov FR Doc.2017-02455 RIN Release Nos.33-10295 34-79878 39-2514 IC-32452 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective February 8, 2017. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of February 8, 2017. 17 CFR Part 232 SummaryThe 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 updates are being made primarily to support an upgrade to the passphrase authentication process; and update the recommended Internet browser language for all EDGAR Web sites. The EDGAR system is scheduled to be upgraded to support the functionalities on January 30, 2017.
2017-01-23; vol. 82 # 13 - Monday, January 23, 201782 FR 7645 - Adoption of Updated EDGAR Filer Manual
typeregulations.gov FR Doc.2016-32032 RIN Release Nos.33-10265 34-79519 39-2513 IC-32387 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective January 23, 2017. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of January 23, 2017. 17 CFR Part 232 SummaryThe 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 updates are being made primarily to support the submission of Municipal Advisor submission form types. The EDGAR system is scheduled to be upgraded to support the other functionalities on December 12, 2016.
2016-09-30; vol. 81 # 190 - Friday, September 30, 201681 FR 67118 - Adoption of Updated EDGAR Filer Manual
typeregulations.gov FR Doc.2016-23562 RIN Release Nos.33-10217 34-78883 39-2512 IC-32269 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective September 30, 2016. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of September 30, 2016. 17 CFR Part 232 SummaryThe 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 updates are being made primarily to support the new submission form types N-MFP2 and N-MFP2/A for money market mutual funds; allow unregistered money market fund to file a report on submission form types N-CR and N-CR/A; update the date format for ABS-EE Asset Data schemas from MM/YYYY to MM-DD-YYYY for CMBS Asset Class: Item 2(c) (12), and Debt Securities Asset Class: Debt Securities, Item 5(f)(3); update the codes and descriptions referencing CMSA to reference CREFC for CMBS Asset Class Item 2(d)(28)(xii) and CMBS Asset Class Item 2(d)(28)(xiii); allow a Large Trader whose most recent Form 13H submission was a Form 13H-I (Inactive) to submit a Form 13H-T (Termination) regardless of elapsed time; and make documentation updates to Chapter 5 and Chapter 6 of the “EDGAR Filer Manual, Volume II: EDGAR Filing” relating to eXtensible Business Reporting Language (XBRL) format. The EDGAR system was upgraded to support the new submission form types N-MFP2 and N-MFP2/A for money market mutual funds on August 29, 2016. The EDGAR system is scheduled to be upgraded to support the other functionalities on September 19, 2016.
2016-07-01; vol. 81 # 127 - Friday, July 1, 201681 FR 43047 - Adoption of Updated EDGAR Filer Manual
typeregulations.gov FR Doc.2016-15510 RIN Release Nos.33-10095 34-78044 39-2510 IC-32145 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective July 1, 2016. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of July 1, 2016. 17 CFR Part 232 SummaryThe 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 updates are being made primarily to support the submission of asset-backed securities (ABS) related form types by registrants whose Standard Industrial Classification (SIC) code is not 6189; terminate support for the US-GAAP-2014, EXCH-2014, COUNTRY-2012, and CURRENCY-2012 taxonomies; and allow certain filers to use Inline XBRL in their Related Official Filing, provided that the structured information satisfies all other submission requirements. The EDGAR system is scheduled to be upgraded to support these functionalities on June 13, 2016.
2016-05-19; vol. 81 # 97 - Thursday, May 19, 201681 FR 31501 - Adoption of Updated EDGAR Filer Manual
typeregulations.gov FR Doc.2016-11764 RIN Release Nos.33-10071 34-77693 39-2509 IC-32091 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective May 19, 2016 The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of May 19, 2016. 17 CFR Part 232 SummaryThe 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 updates are being made primarily to support the 2016 XBRL taxonomies; add new submission form types SBSE, SBSE/A, SBSE-A, SBSE-A/A, SBSE-BD, SBSE-BD/A, SBSE-C and SBSE-W pursuant to Section 15F of the Securities Exchange Act of 1934 (the Exchange Act) and Rules 15Fb1-1 through 15Fb6-2 thereunder; add submission form types 17HACON, 17HACON/A, 17HQCON and 17HQCON/A pursuant to Rules 17h-1T and 17h-2T under the Exchange Act; and permit a value of zero in addition to the currently allowable numeric values in the “Current Number of Employees” field on the “Disclosure Requirements” screen of the Regulation Crowdfunding submission form types C, C/A and C-U. The EDGAR system was upgraded to support the new 2016 XBRL taxonomies on March 7, 2016. The EDGAR system is scheduled to be upgraded to support the other functionalities on April 25, 2016.
2016-01-04; vol. 81 # 1 - Monday, January 4, 201681 FR 3 - Adoption of Updated EDGAR Filer Manual
typeregulations.gov FR Doc.2015-32985 RIN Release Nos.33-9987 34-76619 39-2508 IC-31932 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective January 4, 2016. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of January 4, 2016. 17 CFR Part 232 SummaryThe 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 updates are being made to add the submission form types X-17A-5 and X-17A-5/A for broker-dealer annual reports in electronic format; add the new submission form types C, C-W, C-U, C-U-W, C/A, C/A-W, C-AR, C-AR-W, C-AR/A, C-AR/A-W, C-TR and C-TR-W pursuant to Regulation Crowdfunding; add the new submission form types N-MFP1 and N-MFP1/A for money market mutual funds; disseminate raw and rendered eXtensible Business Reporting Language (XBRL) submissions; and update Item 1 of the Regulation A submission form types 1-A, 1-A/A, 1-A POS, DOA, and DOS/A to accept negative values in the “Total Assets,” “Total Stockholders&apos; Equity,” and “Total Liabilities and Equity” fields. The EDGAR system is scheduled to be upgraded to support this functionality on December 14, 2015. On January 25, 2016, EDGAR will be updated to add new “Funding Portal” applicant type for filers to select when completing the process to apply for EDGAR access (New) on the EDGAR Filer Management Web site; and add the new submission form types CFPORTAL, CFPORTAL/A and CFPORTAL-W pursuant to Regulation Crowdfunding.
2012-03-30; vol. 77 # 62 - Friday, March 30, 201277 FR 19077 - Adoption of Updated EDGAR Filer Manual
typeregulations.gov FR Doc.2012-7608 RIN Release Nos.33-9303 34-66654 39-2483 IC-30008 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: March 30, 2012. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of March 30, 2012. 17 CFR Part 232 SummaryThe 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 are being made primarily to support the upgrade to the 2012 US GAAP and 2012 Mutual Fund Risk/Return Summary Taxonomies; to support period field validation updates for the submission of Form N-PX; to remove the OMB expiration date from Form D, 3, 4, and 5; and to include additional filer support fax numbers on various EDGAR Filer Management Web site screens. The EDGAR system is scheduled to be upgraded to support this functionality on March 26, 2012. The filer manual is also being revised to support the retirement of the DOS based Form N-SAR application and the introduction of the new online Form N-SAR application. The EDGAR system is scheduled to be upgraded to support this functionality on July 9, 2012.
17 CFR 232.302 — Signatures.