With the release of EDGAR 15.4, filers will be able to file Part III of Form X-17A-5 electronically. Form X-17A-5 contains information required of broker-dealers pursuant to Section 17 of the Securities Exchange Act of 1934.
Previously this form could only be filed in paper with the SEC. The content of the form has not been altered; only the method used to submit the filing to the SEC will change. However, filers are not required to file this form electronically and may continue to submit the form in paper format.
The XML form content included in the submission is equivalent to the Facing Page of the paper form as well as the Oath or Affirmation pages. This information should be included in XML format and not attached as a document to the submission.
Because the documents included in the form can be sensitive in nature, filers can specify which documents are considered confidential. To request confidential treatment for a document, filers can check the confidential option when adding documents to the filing using EDGARLink Online or GoFiler Complete. Documents marked as confidential will not be disseminated to the public when the form is filed. This allows filers the ease of electronic filing with the confidentiality of a paper filing.
The required documents can be submitted in both ASCII or HTML. In addition to the documents required for Form X-17A-5, filers can include other standard EDGAR document types (such as COVER and GRAPHIC) with their submission. Standard EDGAR document restrictions also apply. This means that filers will not be able to submit documents with active HTML content and that text documents will be limited to a fixed number of characters for their width.
GoFiler Complete will fully support Form X-17A-5 in its new XML format. Like other XML forms, the interface provided in GoFiler will be a simple edit window with form fields. Required fields will be marked where appropriate. Full validation tools and tools to send your submission to the EDGAR are also provided. The release of GoFiler that corresponds to EDGAR 15.4 will be available for download on Monday, December 14.