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Adoption of Updated EDGAR Filer Manual

SEC · final-rule · Published 2015-08-24 · Effective 2015-08-24 · 80 FR 51123

Document

Document number
2015-20720
Federal Register citation
80 FR 51123
CFR reference
17 CFR 232
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2015-08-24
Effective date
2015-08-24
Docket
Release Nos. 33-9874

Abstract

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 NRSRO submission form types for Nationally Recognized Statistical Rating Organization filers; add new applicant types for filers to select when completing the process to apply for EDGAR access (New) on the EDGAR Filer Management Web site; make a documentation only change to Chapter 3, "Index to Forms," of the "EDGAR Filer Manual, Volume II: EDGAR Filing," to update submission form types SF-1 and SF- 3; and make documentation only changes to "EDGAR Filer Manual, Volume I: General Information" for compliance with Section 508 of the U.S. Rehabilitation Act. The EDGAR system is scheduled to be upgraded to support this functionality on August 3, 2015. The Filer Manual is also being revised to address software changes made previously in EDGAR. On June 18, 2015, the Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, 1-K/A, 1-Z, and 1-Z/A in the EDGAR system were modified to display OMB information. On June 29, 2015, the Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A and 1-A POS in the EDGAR system were updated to allow filers to optionally enter values in the "Name of Class (if any)," "CUSIP (if any)" and "Name of Trading Center or Quotation Medium (if any)" field if a value of zero was provided in the "Units Outstanding" field for the Common Equity, Preferred Equity, and Debt Securities; and Item 6(e) was updated to Item 6(d) on "Item 6: Unregistered Securities Issued or Sold Within One Year" for Regulation A submission form types DOS, DOS/A, 1-A, 1-A/ A, and 1-A POS. Additionally, Item 6(d) was updated to optionally allow a response if "None" is selected on "Item 6: Unregistered Securities Issues or Sold Within One Year."

Source

Authoritative
Federal Register document
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