[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