[Federal Register Volume 80, Number 124 (Monday, June 29, 2015)]
[Rules and Regulations]
[Pages 36913-36914]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-15825]
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SECURITIES AND EXCHANGE COMMISSION
17 CFR Part 232
[Release Nos. 33-9849; 34-75242; 39-2504; IC-31680]
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 updates are being made primarily to
add new submission form types N-CR and N-CR/A for Current Report of
Money Market Fund Material Events; update submission form types ABS-15G
and ABS-15G/A for Asset-backed securities reporting based on Rule 15Ga-
2; no longer display OMB expiration date on submission form types 13F
and 13H; no longer provide support for the 2013 US GAAP financial
reporting and 2013 EXCH taxonomies; documentation only corrections to
Chapter 3, ``Index to Forms,'' of the ``EDGAR Filer Manual, Volume II:
EDGAR Filing,'' which include adding submission types 8-K12B and 8-
K12B/A to Table 3-3, ``Securities Exchange Act--Registration and Report
Submission Types Accepted by EDGAR''; and documentation only changes to
``EDGAR Filer Manual, Volume II: EDGAR Filing'' for Section 508
compliance. The EDGAR system is scheduled to be upgraded to support
this functionality on June 15, 2015.
DATES: Effective June 29, 2015. The incorporation by reference of the
EDGAR Filer Manual is approved by the Director of the Federal Register
as of June 29, 2015.
FOR FURTHER INFORMATION CONTACT: In the Division of Corporate Finance,
for questions concerning Form ABS-15G, contact Heather Mackintosh at
(202) 551-8111, in the Division of Investment Management, for questions
concerning Form N-CR, contact Heather Fernandez at (202) 551-6708, and
in the Office of Information Technology, contact Tammy Borkowski at
(202) 551-7208.
SUPPLEMENTARY INFORMATION: We are adopting an updated EDGAR Filer
Manual, 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 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 May 11, 2015. See Release No. 33-9773 (May 26, 2015)
[80 FR 29942].
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The revisions to the Filer Manual reflect changes within Volume II
entitled EDGAR Filer Manual, Volume II: ``EDGAR Filing,'' Version 32
(June 2015). 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. 33-9773 in which we implemented EDGAR
Release 15.1.1. For additional history of Filer Manual rules, please
see the cites therein.
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The EDGAR system will be upgraded to Release 15.2 on June 15, 2015
and will introduce the following changes:
EDGAR will be updated to add new submission form types N-CR and N-
CR/A to EDGARLink Online. These new submission form types can be
accessed by selecting the `EDGARLink Online Form Submission' link on
the EDGAR Filing Web site. Additionally, filers can construct XML
submissions for these submission form types by following the
``EDGARLink Online XML Technical Specification'' document available on
the SEC's Public Web site (http://www.sec.gov/info/edgar.shtml).
Submission form types ABS-15G and ABS-15G/A will be updated based
on final Rule 15Ga-2.
The OMB expiration date will no longer be displayed on submission
form types 13F-HR, 13F-HR/A, 13F-NT, 13F-NT/A, 13H, 13H-A, 13H-Q, 13H-
I, 13H-T, and 13H-R.
EDGAR will no longer provide support for the US-GAAP-2013 and EXCH-
2013 taxonomies. Please see http://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete listing of supported standard
taxonomies.
Documentation only corrections were made to Chapter 3, ``Index to
Forms,'' of the ``EDGAR Filer Manual, Volume II: EDGAR Filing,'' which
include adding submission types 8-K12B and 8-K12B/A to Table 3-3,
``Securities Exchange Act--Registration and Report Submission Types
Accepted by EDGAR.''
Documentation only changes were made to ``EDGAR Filer Manual,
Volume II: EDGAR Filing'' for Section 508 compliance.
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.
The updated EDGAR Filer Manual will be available for Web site
viewing and printing; the address for the Filer Manual is http://www.sec.gov/info/edgar.shtml. You may also 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., Washington,
DC 20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m.
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).\4\ It follows that the requirements of the Regulatory
Flexibility Act \5\ 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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The effective date for the updated Filer Manual and the rule
amendments
[[Page 36914]]
is June 29, 2015. In accordance with the APA,\6\ 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 15.2 is
scheduled to become available on June 15, 2015. 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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\6\ 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,\7\ Sections 3, 12,
13, 14, 15, 23, and 35A of the Securities Exchange Act of 1934,\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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\7\ 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
\8\ 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll.
\9\ 15 U.S.C. 77sss.
\10\ 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 21 (May 2015). The requirements for filing on
EDGAR are set forth in the updated EDGAR Filer Manual, Volume II:
``EDGAR Filing,'' Version 32 (June 2015). Additional provisions
applicable to Form N-SAR filers are set forth in the EDGAR Filer
Manual, Volume III: ``N-SAR Supplement,'' Version 4 (October 2014). 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. The EDGAR Filer Manual is available
for Web site viewing and printing; the address for the Filer Manual is
http://www.sec.gov/info/edgar.shtml. 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., Washington,
DC 20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. 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.
By the Commission.
Dated: June 18, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015-15825 Filed 6-26-15; 8:45 am]
BILLING CODE 8011-01-P