[Federal Register Volume 82, Number 25 (Wednesday, February 8, 2017)]
[Rules and Regulations]
[Pages 9680-9681]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-02455]


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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 232

[Release Nos. 33-10295; 34-79878; 39-2514; IC-32452]


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 
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.

DATES: 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.

FOR FURTHER INFORMATION CONTACT: In the Division of Corporation 
Finance, for questions concerning the passphrase update process, 
contact Heather Mackintosh (202) 551-8111; in the Division of Trading 
and Markets, for questions concerning Form X-17A-5, contact Kathy 
Bateman at (202) 551-4345; and in the Office of Information Technology, 
for questions concerning recommended Internet browsers, contact Tammy 
Borkowski at (202) 551-7802.

SUPPLEMENTARY INFORMATION: We are adopting an updated EDGAR Filer 
Manual, Volume I, Volume II and Volume III. 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 December 12, 2016. See Release No. 33-10265 (January 
23, 2017) [82 FR 7645].
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    The revisions to the Filer Manual reflect changes within Volume I 
entitled EDGAR Filer Manual, Volume I: ``General Information,'' Version 
26 (January 2017), Volume II entitled EDGAR Filer Manual, Volume II: 
``EDGAR Filing,'' Version 40 (January 2017), and Volume III: ``N-SAR 
Supplement'', Version 6 (January 2017). 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. 33-10265 in which we implemented EDGAR 
Release 16.4. For additional history of Filer Manual rules, please 
see the citations therein.

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[[Page 9681]]

    The EDGAR system will be upgraded to Release 17.0.2 on January 30, 
2017 and will introduce the following changes:
    EDGAR will be upgraded with an enhanced authentication process to 
increase the security surrounding a filer's request for a passphrase 
update. This includes the issuance of a one-time security token which 
will be emailed to the registrant at the email address on record. If 
the email on record is not valid, the filer will need to provide 
authorization to have their codes reset, and in the case of a company, 
the request must be on company letterhead. If a Power of Attorney (POA) 
is provided, it must be manually signed. For more information, please 
refer to Section 4.1.1 of ``EDGAR Filer Manual Volume I: General 
Information''.
    Filers will have the option to add one or more attachments of type 
``FULL'' to submission form types X-17A-5 and X-17A-5/A, which can be 
designated as ``Public'' or ``Confidential.'' If a ``FULL'' attachment 
designated as ``Public'' is attached, then all other attachment types 
are optional.
    The EDGAR Portal, EDGAR Company Database, and the landing pages for 
all EDGAR Web sites will be updated to remove any reference to Internet 
Explorer (IE) 8.0 and Firefox version 24.x, and to update the language 
so that vendor supported versions of IE and Google Chrome are the 
recommended browsers. The references to Internet Explorer 8.0 and 
Firefox 24.x will be deleted in ``EDGAR Filer Manual, Volume I: General 
Information,'' ``EDGAR Filer Manual, Volume II: EDGAR Filing,'' and 
``EDGAR Filer Manual: Volume III: N-SAR Supplement.''
    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 https://www.sec.gov/info/edgar/edmanuals.htm. 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)(A).
    \5\ 5 U.S.C. 601-612.
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    The effective date for the updated Filer Manual and the rule 
amendments is February 8, 2017. 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 17.0.2 is scheduled to become available on January 30, 2017. 
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 these system upgrades.
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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

0
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, 
unless otherwise noted.
* * * * *

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 26 (January 2017). The requirements for filing 
on EDGAR are set forth in the updated EDGAR Filer Manual, Volume II: 
``EDGAR Filing,'' Version 40 (January 2017). Additional provisions 
applicable to Form N-SAR filers are set forth in the EDGAR Filer 
Manual, Volume III: ``N-SAR Supplement,'' Version 6 (January 2017). 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 
https://www.sec.gov/info/edgar/edmanuals.htm. 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: 
https://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.

    By the Commission.

    Dated: January 26, 2017.
Brent J. Fields,
Secretary.
[FR Doc. 2017-02455 Filed 2-7-17; 8:45 am]
BILLING CODE 8011-01-P