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EDGAR Release Notes

The SEC provides release notes with each new EDGAR Release. Full release notes for the EDGAR System are available by logging into https://www.edgarfiling.sec.gov/. Recent changes to the EDGAR System may also be found in the Updates section of the EDGAR Filer Manual.

EDGAR 17.1 (Current Release – March, 2017)

Release notes from the SEC: 

The Microsoft InfoPath templates used to file Transfer Agent forms TA-1, TA-1/A, TA-2, TA-2/A, and TA-W were retired on March 10, 2017.

 

Effective March 13, 2017, filers must use the new online version of the forms application available on the EDGAR Filing Website to file Transfer Agent forms. This web-based application replaces the corresponding Microsoft InfoPath templates that were previously used to file these forms. Filers can access Transfer Agent forms by selecting the 'File Transfer Agent Forms' link on the EDGAR Filing Website.

 

Chapter 8 (Preparing and Transmitting EDGARLite Submissions) of the "EDGAR Filer Manual, Volume II: EDGAR Filing" was retired. Two new sections, 'File Transfer Agent Forms' and 'Completing a Transfer Agent Form' were added to the former Chapter 9 (new Chapter 8 - Preparing and Transmitting Online Submissions) of the "EDGAR Filer Manual, Volume II: EDGAR Filing" to guide filers through the filing process.

 

Filers can continue to construct XML submissions as described in the XML Technical Specification documents for Transfer Agent forms, and submit them via the EDGAR Filing Website.

 

EDGAR was updated to allow filers to submit duplicate filings for submission form type 10-D

 

EDGAR was upgraded to allow filers to provide up to four digits after the decimal point for the "Price per Security" field for 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.

 

 

EDGAR was upgraded to include the following changes to submission form types ABS-EE and ABS-EE/A: 

  • The restriction on future dates for ABS-EE and ABS-EE/A in the "End Period Date" EDGAR Header Tag was removed.
  • ABS-EE filings will be suspended if the EX-102 XML attachment fails validation.
  • In addition, the ABS-EE Asset Data schema was updated with the following changes:
    • Debt Securities ABS Asset Class: Item 5(d)(8), was renamed to Actual Interest Collection Amount.
    • Filers can provide future dates through December 31, 2150 in response to Asset Class Items that require a date.

 

For more information, see the updated "EDGAR ABS XML Technical Specification" document available on the SEC's Public Website (https://www.sec.gov/info/edgar/tech-specs).

 

 

Filers can provide underscores ("_") in any portion of the "Notification E-mail Address" and "Submission Contact E-mail Address" fields within X-17A-5 and X-17A-5/A submissions.

 

In addition, all ASCII character validations were removed for broker-dealer entity name fields for submission form types X-17A-5 and X-17A-5/A. Broker-dealers can submit the aforementioned filings, irrespective of the ASCII characters in those fields.

 

 

Submission form types SDR, SDR/A, SDR-A, and SDR-W no longer require the XBRL dei:EntityFilerCategory element to be provided for the following XBRL document types:

  • EX-99.SDR K.INS (Traditional XBRL)
  • EX-99.SDR L.INS (Traditional XBRL)
  • EX-99.SDR K (Inline XBRL)
  • EX-99.SDR L (Inline XBRL)

 

 

Submission types N-MFP2 and N-MFP2/A were updated to allow filers to choose both "Exempt Government" and "Treasury" as the category of the fund in Item A.10 of the form.

 

For more information, see the updated "EDGAR Form N-MFP2 XML Technical Specification" document available on the SEC's Public Website (https://www.sec.gov/info/edgar/tech-specs).

 

  Filers can upload the notarized authentication document and the power of attorney as separate CORRESP documents when submitting a request to manually update their passphrase on the EDGAR Filer Management Website.

 

 

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