[Federal Register Volume 79, Number 46 (Monday, March 10, 2014)]
[Rules and Regulations]
[Pages 13216-13218]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-05057]
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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.
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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.
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\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].
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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\
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\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.
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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.
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\4\ See Release No. 34-70462 (September 20, 2013) [78 FR 67467
(November 12, 2013)].
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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.
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\5\ 5 U.S.C. 553(b).
\6\ 5 U.S.C. 601-612.
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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.
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\7\ 5 U.S.C. 553(d)(3).
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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\
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\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.
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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
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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