On September 20, 2020, EDGAR Release 21.3 was released by the Securities and Exchange Commission. This release includes new submission types N-RN, 424I, and SBS DISPUTE NOTICE. This release also introduces a Pilot phase for filing Form 24F-2 in a structured XML format.
Monday, September 20. 2021
More details on the changes are available below:
EDGAR was updated to support the following new submission types:
- 424I: Prospectus filed pursuant toRule 424(i)(1)
- N-RN: Current Report for Registered Management Investment Companies and Business Development Companies
- N-RN/A: Amendment to Current Report for Registered Management Investment Companies and Business Development Companies
- SBS DISPUTE NOTICE: Security-Based Swap Entity Valuation Dispute Notice
- SBS DISPUTE NOTICE/A: Amendment to a Security-Based Swap Entity Valuation Dispute Notice
Form 24F-2 Pilot Phase
This release introduces a Pilot phase for filing Form 24F-2 submissions in a structured format. Form 24F-2 may be filed using the new online version available on the EDGAR Filing Website, or it can be constructed by filers according to the new EDGAR Form 24F-2 XML Technical Specification.
If filing online, submission types 24F-2NT and 24F-2NT/A are accessed by selecting the File Form 24F-2 link on the EDGAR Filing Website. Instructions for filing have been added to two new sections in Chapter 8 of volume II of the EDGAR Filer Manual.
Filers will allowed to submit the new versions of 24F-2NT and 24F-2NT/A beginning September 20, 2021 through January 31, 2022. Beginning February 1, 2022, filers will no longer be able to file 24F-2NT and 24F-2NT/A through the EDGARLink Online interface of as EDGARLink Online filer-constructed submissions. Filers will be able to submit both TEST and LIVE filings of these form types in a structured format beginning February 1, 2022.
Updates to N-CEN
Under Release IC-34084, submission form types N-CEN and N-CEN/A were updated to include the following changes for Item C.7 “Reliance oncertain statutory exemption and rules”:
- Addition of sub-item n. Rule 18f-4(17 CFR 270.18f-4): and its corresponding sub-items i,ii, iii, iv, v, and vi
Updates to N-PORT
Under Release IC-34084, submission form types NPORT-P, NPORT-P/A, NPORT-NP, and NPORT-NP/A, will be updated to include the following two new sections and corresponding sub-sections, as follows:
- Section B.9: Derivatives Exposure for limited derivatives users
- Section B.10: VaR information
Additionally, the description for Item B.8 was updated.
The IFRS-2019 Taxonomy is no longer allowed.
Privacy Notice Updates
The privacy notice has been included on Form ID to clarify that information provided on Form ID may become publicly available. The EDGAR Filer Management, EDGAR Filing, and EDGAR Online Forms Management websites will also be updated to include the EDGAR Privacy Notice. Both of these notices can be found in the full release notes available from the SEC.
The EDGAR Filer Management, EDGAR Filing, and EDGAR Online Forms Managements websites will be updated to drop support for Microsoft Internet Explorer (IE) and to add support for Microsoft Edge.
- Form X-17A-5 can be filed by two new classes of registrants (security-based swap dealers and major security-based swap participants).
- The Total Offering Amount in Item 13: Offering and Sales Amounts for Forms D and D/A has been increased from a maximum of $5,000,000 to $10,000,000 if any Rule 504 item is selected.
- EDGAR will longer use the description “Taiwan, Province of China” for Taiwan and will only use the term “Taiwan” without a following modifier. The state/country list of values for all XML submissions were updated to reflect this change.
- EDGAR will accept the SBSE-C Certification form immediately after receiving the SBSE registration forms SBSE, SBSE-A and SBSE-BD.
Version 5.10a of the GoFiler family will address these changes to EDGAR. If you need to update your version of GoFiler, use the Check for Updates function within your software. For a full list of improvements that were made for Version 5.10a, please refer to the software release notes.