[Federal Register Volume 64, Number 202 (Wednesday, October 20, 1999)]
[Rules and Regulations]
[Pages 56430-56433]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-26985]


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SECURITIES AND EXCHANGE COMMISSION

17 CFR Parts 232, 239, 249, 259, 269 and 274

[Release Nos. 33-7752; 34-41986; 35-27081; 39-2376; IC-24075]
RIN 3235-AG96


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. The Commission is also amending Form 
ID, the Uniform Application for Access Codes to File on EDGAR.

EFFECTIVE DATE: October 18, 1999. The new edition of the EDGAR Filer 
Manual (Release 6.6) will be effective on October 18, 1999. The 
incorporation by reference of the EDGAR Filer Manual is approved by the 
Director of the Federal Register as of October 18, 1999.

FOR FURTHER INFORMATION CONTACT: In the Office of Information 
Technology, Michael E. Bartell at (202) 942-8800; for questions 
concerning investment company filings, Ruth Armfield Sanders, Senior 
Special Counsel, Division of Investment Management, at (202) 942-0978; 
and for questions concerning Corporation Finance company filings, 
Herbert Scholl at (202) 942-2930.

SUPPLEMENTARY INFORMATION: Today we are adopting an updated EDGAR Filer 
Manual (``Filer Manual''), which describes the technical formatting 
requirements for the preparation and submission of electronic filings 
through the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) 
system.\1\ Filers must comply with the provisions of the Filer Manual 
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 our rules governing mandated electronic filing when 
preparing documents for electronic submission.\3\
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    \1\ We orginally adopted the Filer Manual on April 1, 1993, with 
an effective date of April 26, 1993. Release No. 33-6986 (Apr. 1, 
1993) [58 FR 18638]. We implemented the most recent update to the 
Filer Manual on June 28, 1999. See Release No. 33-7685 (May 17, 
1999) [64 FR 27897].
    \2\ See Rule 301 of Regulation S-T (17 CFR 232.301).
    \3\ See Release Nos. 33-6977 (Feb. 23, 1993) [58 FR 14628], IC-
19284 (Feb. 23, 1993) [58 FR 14848], 35-25746 (Feb. 23, 1993) [58 FR 
14999], and 33-6980 (Feb. 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 (Dec. 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 (Oct. 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. 
34-40935 (Jan. 12, 1999) [64 FR 2843], in which we made mandatory 
the electronic filing of Form 13F; and Release No. 33-7684 (May 17, 
1999) [64 FR 27888], in which we adopted amendments to implement the 
first stage of EDGAR modernization.
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    The purpose of this new version of EDGAR and the Filer Manual 
(Release 6.6) is to incorporate changes resulting

[[Page 56431]]

from the decision by CompuServe, a sub-contractor to TRW the developer 
of the EDGAR system, to discontinue its EDGAR services as of October 
16, 1999. The changes in the Filer Manual are due to the change in the 
sub-contractor for the public data network for transmission of filings 
to EDGAR, private mailboxes for receiving EDGAR acceptance/suspension 
messages, and electronic return copies of filings. The EDGAR bulletin 
board and the EDGAR company database will no longer be available, but 
filers may obtain similar information from our Web Site at www.sec.gov 
and the TRW/UUNET Web Site at www.trw-edgar.com.
    Filers who chose to use the TRW/UUNET services may sign up using 
the Web Site at www.trw-edgar.com by filling out a questionnaire. TRW/
UUNET will send new account information and a password. Filers who 
cannot access the web site can call 703-345-8900 for sign up 
information. The basic TRW/UUNET service will include five hours of 
access and a mailbox for messages. There will be additional charges for 
larger mailboxes and connect time over the basic limit. Those filers 
who want to use the public data network for transmission to EDGAR, who 
want a private system (instead of the Internet) for receipt of 
acceptance/suspense messages, or who want an electronic returned copy 
of their filings must sign up for this service. To access their new 
mailboxes, filers must use a standard POP3 mail client. Netscape 
Communicator, Microsoft Internet Explorer and several other Internet 
packages provide these clients. The www.trw-edgar.com Web Site contains 
additional information.
    We will install the new EDGAR private mail service on Saturday, 
October 16, 1999. We will begin delivering messages and return copies 
to the new mailboxes on Monday, October 18, 1999. We will also make the 
new public data network available for transmissions on Monday, October 
18, 1999.
    Due to the switch in private mail service, we are making several 
changes to the EDGAR system that deal with notification and the naming 
of certain tags. EDGAR will no longer support numeric private mail 
addresses (e.g., 75200,1024). The format for EDGAR private mail user 
IDs is 8 to12 upper case alphabetical and numeric characters with an 
optional dash (-). We have renamed the tag ; the new 
name is . We have revised the Filer Manual to reflect 
the changes described.\4\
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    \4\ In addition, we have revised Appendix C of the Filer Manual 
to update the pages entitled, ``Examples of Document Header Tag 
Values for Investment Company Exhibits,'' and we have added examples 
of header tags for Form N-SAR exhibits.
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    We have revised Form ID,\5\ the Uniform Application for Access 
Codes to File on EDGAR, to reflect the change in the EDGAR private mail 
service. We have also included an additional line in the Form ID for an 
optional Internet e-mail address.
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    \5\ 17 CFR 239.63, 249.446, 259.602, 269.7 and 274.402.
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    We are amending Rule 301 of Regulation S-T 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 amendments to Rule 301 
and to Form ID will be effective on October 18,1999.
    You may obtain paper copies of the updated Filer Manual at the 
following address: Public Reference Room, U.S. Securities and Exchange 
Commission, 450 Fifth Street, NW, Washington DC 20549-0102. We will 
post electronic format copies on the SEC's Web Site. The SEC's Web Site 
address for the Filer Manual is http://www.sec.gov/asec/ofis/
filerman.htm. You may also obtain copies from Disclosure Incorporated, 
the paper and microfiche contractor for the Commission, at (800) 638-
8241.
    Since the Filer Manual (including Form ID) relates solely to agency 
procedures or practice, publication for notice and comment is not 
required under the Administrative Procedure Act (APA).\6\ It follows 
that the requirements of the Regulatory Flexibility Act \7\ do not 
apply.
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    \6\ 5 U.S.C. 553(b).
    \7\ 5 U.S.C. 601-612.
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    The effective date for the updated Filer Manual and the rule and 
form amendments is October 18, 1999. In accordance the APA,\8\ we find 
that there is good cause to establish an effective date less than 30 
days after publication of these rules and forms. The changes in the 
Filer Manual are due to the change in the sub-contractor for the public 
data network for transmission of filings to EDGAR, private mailboxes 
for receiving EDGAR acceptance/suspension messages, and electronic 
return copies of filings. If the changes do not become effective by 
October 18, it is likely that the ability of EDGAR users to make 
filings and send messages would be disrupted. This in turn could 
disrupt securities offerings or the filing of timely public 
disclosures. In addition, we find there is good cause for the changes 
to the Form ID becoming effective in less than 30 days after 
publication because of the minor and technical nature of those changes.
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    \8\ 5 U.S.C. 553(d)(3).
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Statutory Basis

    We are adopting the amendments to Regulation S-T and Form ID under 
Sections 6, 7, 8, 10, and 19(a) of the Securities Act,\9\ Sections 3, 
12, 13, 14, 15, 23, and 35A of the Securities Exchange Act of 1934,\10\ 
Section 20 of the Public Utility Holding Company Act of 1935,\11\ 
Section 319 of the Trust Indenture Act of 1939,\12\ and Sections 8, 30, 
31, and 38 of the Investment Company Act.\13\
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    \9\ 15 U.S.C. 77f, 77g, 77h, 77j and 77s(a).
    \10\ 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w and 78ll.
    \11\ 15 U.S.C. 79t.
    \12\ 15 U.S.C. 77sss.
    \13\ 15 U.S.C. 80a-8, 80a-29, 80a-30 and 80a-37.
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List of Subjects

17 CFR Part 232

    Incorporation by reference, Reporting and recordkeeping 
requirements, Securities.

17 CFR Parts 239, 249, 259, 269 and 274

    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.

    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 
October 1999 edition of the EDGAR Filer Manual: Guide for Electronic 
Filing with the U.S. Securities and Exchange Commission (Release 6.6) 
is incorporated by reference into the Code of Federal Regulations, 
which action

[[Page 56432]]

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, 450 Fifth Street, NW, Washington, DC 20549-0102 or by 
calling Disclosure Incorporated at (800) 638-8241. Electronic format 
copies are available on the SEC's Web Site. The SEC's Web Site address 
for the Manual is http://www.sec.gov/asec/ofis/filerman.htm. 
Information on becoming an EDGAR e-mail/electronic bulletin board 
subscriber is available by contacting TRW/UUNET at (703) 345-8900 or at 
www.trw-edgar.com.

PART 239--FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933

    3. The authority citation for Part 239 continues to read in part as 
follows:

    Authority: 15 U.S.C. 77ddd(c), 77eee, 77ggg, 77hhh, 77iii, 
77jjj, 77sss, 78ll(d), unless otherwise noted.

PART 249--FORMS, SECURITIES EXCHANGE ACT OF 1934

    4. The authority citation for Part 249 continues to read in part as 
follows:

    Authority: 15 U.S.C. 77ddd(c), 77eee, 77ggg, 77hhh, 77iii, 
77jjj, 77sss, 78ll(d), unless otherwise noted.

PART 259--FORMS PRESCRIBED UNDER THE PUBLIC UTILITY HOLDING ACT OF 
1935

    5. The authority citation for Part 259 continues to read in part as 
follows:

    Authority: 15 U.S.C. 77ddd(c), 77eee, 77ggg, 77hhh, 77iii, 
77jjj, 77sss, 78ll(d), unless otherwise noted.

PART 269--FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939

    6. The authority citation for Part 269 continues to read in part as 
follows:

    Authority: 15 U.S.C. 77ddd(c), 77eee, 77ggg, 77hhh, 77iii, 
77jjj, 77sss, 78ll(d), unless otherwise noted.

PART 274--FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940

    7. The authority citation for Part 274 continues to read in part as 
follows:

    Authority: 15 U.S.C. 77ddd(c), 77eee, 77ggg, 77hhh, 77iii, 
77jjj, 77sss, 78ll(d), unless otherwise noted.

    8. By revising Form ID (referenced in Secs. 239.63, 249.446, 
259.602, 269.7 and 274.402 of this chapter) to read as follows:

    Note--The text of Form ID does not appear in the Code of Federal 
Regulations.

OMB APPROVAL
    OMB Number: 325-0328
    Expires: May 31, 2001
    Estimated average burden hours per response: 0.15

United States Securities and Exchange Commission,
Washington, DC 20549

Applicant's CIK (if known)

Form ID--Uniform Application for Access Codes To File on Edgar

[  ] Initial application    [  ] Amendment

Part I--Application for Access Codes To File on Edgar

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Name of applicant (registrant's name as specified in its charter; 
individual's name for signature purposes; company or individual name 
of filing agent or training agent).
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Former name (if changed since last application)
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Mailing address or post office box no.:

City      State      Zip

Telephone number: (  )

E-Mail Address:
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Applicant is a (see definitions in the General Instructions):

[  ] Filer    [  ] Filing agent    [  ] Training agent
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[  ] Initial application for EDGAR access codes.
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[  ] Amended application for (see definitions in the General 
Instructions):

[  ] CCC    [  ] Password    [  ] PMAC
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[  ] Amended application to change reported information only (access 
codes to remain the same)
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Part II--Filer Information (to be completed by filers only)

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If you currently file with the SEC, check this box [  ] and provide 
at least one of your SEC file numbers, if known:

1933 Act No.
2-____
33-____
333-____

1934 Act No.
0-____
1-____
28-____

1935 Act No.
70-____
69-____

1940 Act No.
811-____
814-____

Other No.
__-__
__-__

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Registrant's tax number or federal identification number

Telephone number (include area code)
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Primary business address or post office box no. (if different from 
mailing address)

City    State    Zip
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State of incorporation/organization

Fiscal year end (mm/dd)
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Part III--Contact Information (to be completed by all applicants)

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Person to receive EDGAR information, inquiries and access codes
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Telephone number (include area code): (  )
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Mailing address or post office box no. (if different from 
applicant's mailing address)

City    State    Zip

E-Mail Address:
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If you are an EDGAR Private Mail subscriber, provide your User ID:
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Part IV--Account Information (to be completed by filers and filing 
agents only)

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Person to receive SEC account information and billing invoices

Telephone number (include area code) (  )
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Mailing address or post office box no. (if different from 
applicant's mailing address)

City    State     Zip
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Part V--Signature (to be completed by all applicants)

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Signature:    Type or print name:
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Position or title:      Date:
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Section 19 of the Securities Act of 1933 (15 U.S.C. 77s), sections 
13(a) and 23 of the Securities Exchange Act of 1934 (15 U.S.C. 
78m(a) and 78w), section 319 of the Trust Indenture Act of 1939 (15 
U.S.C. 77sss), section 20 of the Public Utility Holding Company Act 
of 1935 (15 U.S.C. 79t) and sections 30 and 38 of the Investment 
Company Act of 1940 (15 U.S.C. 80a-29 and 30a-37) authorize 
solicitation of this information. We will use this information to 
assign system identification to filers, filing agents, and training 
agents. This will allow the Commission to identify persons sending 
electronic submissions and grant secure access to the EDGAR system.


[[Page 56433]]


SEC (x/xx) Persons who potentially are to respond to the collection 
of information contained in this form are not required to respond 
unless the form displays a currently valid OMB control number.

Form ID--General Instructions

Using and Preparing Form ID

Use Form ID to apply for or to amend the following EDGAR codes:
    Central Index Key (CIK)--The CIK uniquely identifies each filer, 
filing agent, and training agent. We assign the CIK at the time you 
make an initial application. You may not change this code
    CIK Confirmation Code (CCC)--You will use the CCC in the header 
of your filings in conjunction with your CIK to ensure that you 
authorized the filing
    Password (PW)--The PW allows you to log onto the EDGAR system, 
submit filings, and change your CCC
    Password Modification Authorization Code (PMAC)--The PMAC allows 
you to change your password
Please see the EDGAR Filer Manual for instructions on how to file 
electronically, including how to use the access codes

You must complete all items in any parts which apply to you. If any 
item in any part does not apply to you, please mark that part 
``NA.'' If your form is incomplete, it may take us longer to assign 
your access codes

Part I--Applicant Information (to be completed by all applicants)

Please check the appropriate box to indicate whether you will be 
sending electronic submissions as a filer, filing agent, or training 
agent. Mark only one of these boxes per application. A ``filer'' is 
any person or entity on whose behalf an electronic filing is made. A 
``filing agent'' is a financial printer, law firm, or other party 
which will be using these access codes to send a filing or portion 
of a filing on behalf of a filer. A ``training agent'' is any person 
or entity which will be sending only test filings in conjunction 
with training other persons.

If you do not already have access codes, please mark the ``Initial 
application'' box, and complete all other items in Parts II through 
V that apply to you.

If you already have access codes, please provide your CIK in the 
upper left corner, and mark the boxes to indicate the reason you are 
filing the amendment and any access codes you want to replace. You 
also should complete Part V (signature) and those items in Parts II 
through IV which have changed from the previous application. You may 
change your access codes (except your PMAC) and most other 
information on Form ID electronically via EDGAR. See the EDGAR Filer 
Manual for details.

Part II--Filer Information (to be completed by filers only)

The registrant's tax or federal identification number is the number 
issued by the Internal Revenue Service. Foreign private issuers 
should include all zeroes if they do not have a tax or federal 
identification number. (We do not require this number for 
individuals.)

We do not require state of incorporation/organization or fiscal year 
end for individuals. We request that foreign private issuers include 
their country of organization.

Part III--Contact Information (to be completed by all applicants)

In this section, identify the individual who should receive the 
access codes and EDGAR-related information.

If you are or become an EDGAR Private Mail subscriber, you can 
receive acceptance and suspension messages and any requested return 
copies of your filings via electronic mail at your expense. If you 
do not subscribe to EDGAR Private Mail, you can receive your 
acceptance and suspension messages via Internet E-Mail if you 
provide an address. We will not send return copies of filings to an 
Internet address.

Part IV--Account Information (to be completed by filers and filing 
agents only)

Identify in this section the individual who should receive account 
information and/or billing invoices from us. We will use this 
information to electronically process fee payments and billings.

Part V--Signature (to be completed by all applicants)

Send your manually signed and dated form to: Branch of Filer 
Support, U.S. Securities and Exchange Commission, Operations Center, 
Stop 0-7, 6432 General Green Way, Alexandria, VA 22312.

    Dated: October 7, 1999.

    By the Commission.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 99-26985 Filed 10-19-99; 8:45 am]
BILLING CODE 8010-01-P