[Federal Register Volume 59, Number 188 (Thursday, September 29, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-24045]


[[Page Unknown]]

[Federal Register: September 29, 1994]


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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 232

[Release Nos. 33-7094; 34-34708; 35-26129; 39-2323; IC-20569]
RIN 3235-AG10

 

Adoption of Updated EDGAR Filer Manual

AGENCY: Securities and Exchange Commission.

ACTION: Final rule.

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SUMMARY: The Commission is adopting an updated edition of the EDGAR 
Filer Manual and is providing for its incorporation by reference into 
the Code of Federal Regulations.
EFFECTIVE DATE: The amendment to Regulation S-T will be effective on 
October 31, 1994. The new edition of the EDGAR Filer Manual (Release 
4.0) will be effective on October 31, 1994. The incorporation by 
reference of the EDGAR Filer Manual is approved by the Director of the 
Federal Register as of October 31, 1994.

FOR FURTHER INFORMATION CONTACT: In the Office of Information 
Technology, David T. Copenhafer at (202) 942-8800; in the Division of 
Corporation Finance, Barbara C. Jacobs or James R. Budge at (202) 942-
2910; in the Division of Investment Management, Anthony A. Vertuno at 
(202) 942-0591 or Ruth Armfield Sanders at (202) 941-0633.

SUPPLEMENTARY INFORMATION: The Commission today announces the adoption 
of an updated EDGAR Filer Manual (``Filer Manual''), which sets forth 
the technical formatting requirements governing the preparation and 
submission of electronic filings through the Electronic Data Gathering, 
Analysis, and Retrieval (``EDGAR'') system.1 Compliance with the 
provisions of the Filer Manual is required in order to assure the 
timely acceptance and processing of filings made in electronic 
format.2 Filers should consult the Filer Manual in conjunction 
with the Commission's rules governing mandated electronic filing when 
preparing documents for electronic submission.3 In this update, 
electronic filers will be required to identify for the EDGAR system the 
national securities exchanges or national securities associations on or 
through which the issuer's securities are traded. A number of new form 
types also will be made available, including several that will allow 
more flexibility in filing proxy materials. Rule 301 of Regulation S-T 
also is being amended to provide for the incorporation by reference of 
the Filer Manual into the Code of Federal Regulations, which 
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 
revised Filer Manual and the amendment to Rule 301 will be effective on 
October 31, 1994.
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    \1\The Filer Manual originally was adopted on April 1, 1993, and 
became effective on April 26, 1993. See Release No. 33-6986 (April 
1, 1993) (58 FR 18638). Updates to the Filer Manual were adopted on 
July 8, 1994. See Release No. 33-7073 (July 8, 1994) (59 FR 36262).
    \2\See Rule 301 of Regulation S-T (17 CFR 232.301).
    \3\See 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) 
for a comprehensive treatment of the rules adopted by the Commission 
governing mandated electronic filing.
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    Paper copies of the updated Filer Manual may be obtained at the 
following address: Public Reference Room, U.S. Securities and Exchange 
Commission, Mail Stop 1-2, 450 Fifth Street, N.W., Washington D.C. 
20549. Electronic format copies will be available on the EDGAR 
electronic bulletin board. Copies also may be obtained from Disclosure 
Incorporated, the paper and microfiche contractor for the Commission, 
at (800) 638-8241.
    Since the Filer Manual relates solely to agency procedure or 
practice, publication for notice and comment is not required under the 
Administrative Procedure Act.4 It follows that the requirements of 
the Regulatory Flexibility Act5 do not apply.
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    \4\5 U.S.C. 553(b).
    \5\5 U.S.C. 601-612.
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Statutory Basis

    The amendment to Regulation S-T is being adopted under Sections 6, 
7, 8, 10, and 19(a) of the Securities Act of 1933,6 Sections 3, 
12, 13, 14, 15, 23, and 35A of the Securities Exchange Act of 
1934,7 Section 20 of the Public Utility Holding Company Act of 
1935,8 Section 319 of the Trust Indenture Act of 1939,9 and 
Sections 8, 30, 31, and 38 of the Investment Company Act of 
1940.10
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    \6\15 U.S.C. 77f, 77g, 77h, 77j and 77s(a).
    \7\15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w and 78ll.
    \8\15 U.S.C. 79t.
    \9\15 U.S.C. 77sss.
    \1\015 U.S.C. 80a-8, 80a-29, 80a-30 and 80a-37.
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List of Subjects in 17 CFR Part 232

    Incorporation by reference, Investment companies, Registration 
requirements, 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

    1. The authority citation for Part 232 continues to read 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 and 80a-37.

    2. Section 232.301 is revised to read as follows:


Sec. 232.301  EDGAR Filer Manual.

    Electronic filings shall be prepared in the manner prescribed by 
the EDGAR Filer Manual, promulgated by the Commission, which sets out 
the technical formatting requirements for electronic submissions. The 
September 1994 edition of the EDGAR Filer Manual: Guide for Electronic 
Filing with the U.S. Securities and Exchange Commission (Release 4.0) 
is incorporated into the Code of Federal Regulations by reference, 
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. Compliance with the 
requirements found therein is essential to the timely receipt and 
acceptance of documents filed with or otherwise submitted to the 
Commission in electronic format. Paper copies of the EDGAR Filer Manual 
may be obtained at the following address: Public Reference Room, U.S. 
Securities and Exchange Commission, Mail Stop 1-2, 450 5th Street, NW., 
Washington, DC 20549. They also may be obtained from Disclosure 
Incorporated by calling (800) 638-8241. Electronic format copies are 
available through the EDGAR electronic bulletin board. Information on 
becoming an EDGAR E-mail/electronic bulletin board subscriber is 
available by contacting CompuServe Inc. at (800) 848-8199.

    By the Commission.

    Dated: September 23, 1994.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 94-24045 Filed 9-28-94; 8:45 am]
BILLING CODE 8010-01-P