Latest system announcements and news related to EDGAR, including system status, important changes, reminders regarding Filer Support operational hours, and relevant news and information to better assist filers during the filing submission process.

  • Filing Dates for Juneteenth National Independence Day
    on June 25, 2021 at 5:14 pm

    The Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system was closed on Friday, June 18, 2021, in observance of the Juneteenth National Independence Day and to treat that day as a federal holiday for filing purposes. EDGAR resumed normal operations on Monday, June 21, 2021.   Filers who submitted filings after 5:30 pm ET on Thursday, June 17, 2021 and received a filing date of Friday, June 18, 2021 will have those filings automatically adjusted in EDGAR to reflect a filing date of June 21, 2021.   For questions or further information, please contact Filer Support at 202-551-8900, or email EDGARFilingCorrections@sec.gov.

  • Coming Soon for Investment Company Filers
    on June 22, 2021 at 6:07 pm

    June 22, 2021 As part of the Securities Offering Reform for Closed-End Investment Companies release, the Commission adopted a requirement that filings on Form 24F-2 be submitted in a structured format.  The next major update to the EDGAR system, expected in September 2021, will introduce a pilot phase for filing Form 24F-2 in a structured format with the following features: EDGAR will be updated to convert Form 24F-2 (variants 24F-2NT and 24F-2NT/A) to an online form. Form 24F-2 may be filed using a new online version which will be available on the EDGAR Filing Website or constructed by filers according to new technical specifications which will be made available with the next major update to the EDGAR system.   In the pilot phase, filers will only be allowed to submit online and filer-constructed versions of forms 24F-2NT and 24F-2NT/A as TEST filings from September 20, 2021 to January 31, 2022.  As with all TEST filings, testers are strongly encouraged to create and submit fictional data. Filers will be prevented from submitting 24F-2NT and 24F-2NT/A form types using the EDGARLink Online interface or as EDGARLink Online filer-constructed submissions beginning February 1, 2022. Beginning February 1, 2022, form types 24F-2NT and 24F-2NT/A created in a structured format will be accepted as LIVE and TEST online submissions. For additional information, please see Release 33-10771, Securities Offering Reform for Closed-End Investment Companies.

  • Adoption of the EDGAR Filer Manual, Manual Passphrase Update Amendment
    on June 22, 2021 at 5:28 pm

    June 22, 2021   The SEC has amended Volume I of the EDGAR Filer Manual, Section 4.b. Manual Passphrase Update Request, and related rules to require filers who have lost their passphrase to upload specified supporting documentation to demonstrate the relationships between the entity requesting access and the existing EDGAR account, and the entity requesting access and the individual acting for that entity. Filers seeking access to an existing EDGAR account for which they have neither the access codes nor the current contact email address would be required to submit documents with the request for access, and additional documents as requested by SEC staff.   The amendments provide that filers seeking access under this process must allow at least five (5) business days for processing of the request, and must respond to requests from SEC staff for additional information and documents.  In addition, the SEC has revised Volume II of the EDGAR Filer Manual to reflect updates to the EDGAR system. For questions or further information, please contact Filer Support at (202) 551-8900, option 3.

  • EDGAR Will Be Closed Friday, June 18, 2021
    on June 17, 2021 at 5:44 pm

    The Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system will be closed on Friday, June 18, 2021, in observance of Juneteenth National Independence Day and will treat this day as a federal holiday for filing purposes. EDGAR will resume normal operations on Monday, June 21, 2021. Please be aware that on June 18, 2021: EDGAR filing websites will not be operational. Filings will not be accepted in EDGAR. EDGAR Filer Support will be closed.  Filings required to be made on Friday, June 18, 2021 will be considered timely if filed on or before June 21, 2021, because June 21, 2021 is EDGAR’s next operational business day. Filers should plan their filings accordingly. For questions or further information, please contact Filer Support at (202) 551-8900, option 3.

  • EDGAR Release 21.2
    on June 14, 2021 at 7:46 pm

    On June 25, 2021, EDGAR Release 21.2.1 will introduce the following changes: Starting June 25, 2021, applicants for EDGAR access who previously used the “Convert Paper Only Filer to Electronic Filer” process will use a new application that will be available on the EDGAR Filer Management Website. This application can be accessed by selecting the “Apply for EDGAR Access: Applicants With a CIK but Without EDGAR Access Codes” hyperlink (formerly “Convert Paper Only Filer to Electronic Filer”) on the home page of the EDGAR Filer Management Website. As part of the application, filers must complete the Form ID and submit an authenticating document. Based on the CIK entered, certain sections of the Form ID will be pre-populated with information currently in EDGAR. For any information that is incorrect, filers must wait until after the Form ID application is accepted by EDGAR to correct the information through the “Retrieve/Edit Data” hyperlink on the EDGAR Filing Website. Filers registered as broker-dealers must make corrections to any information other than their email address by submitting a Form BD/A (amendment to Form BD) to FINRA’s Web CRD/Gateway system. Filers will also be able to save their Form ID application and then resume the application by restoring it at a later time. Textual references to “Convert Paper Only Filer to Electronic Filer” will be updated to “Apply for EDGAR Access: Applicants With a CIK but Without EDGAR Access Codes (formerly “Convert Paper Only Filer To Electronic Filer.”) See Chapter 2 (Quick Guide to EDGAR Filing), Chapter 5 (Constructing Attached Documents and Document Types), and Appendix B (Frequently Asked Questions) of the EDGAR Filer Manual, Volume II: “EDGAR Filing.” Minor text only updates will be made to the “Apply for EDGAR Access” Form ID user interface. On June 21, 2021, EDGAR Release 21.2 will introduce the following changes: As part of Release 33-10771, the Commission adopted amendments to Forms S-1, S-3, F-1, and F-3 that enable issuers of Exchange Traded Vehicle Securities to register an indeterminate number of securities and pay the fee for those securities on an annual basis. As a result, submission form types S-1, S-1/A, S-3, S-3/A, F-1, F-1/A, F-3, and F-3/A will be updated to include “Exchange Traded Vehicle Securities” as a new Security Type. If “Exchange Traded Vehicle Securities” is chosen as the Security Type in these forms, the “Type of Payment” field will be enabled. The options available for the “Type of Payment” field are “Indeterminate” and “Pay In Advance.” For more information see the “EDGARLink Online XML Technical Specification” document available on https://www.sec.gov/edgar/filer-information/current-edgar-technical-specifications. See Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions) of the EDGAR Filer Manual, Volume II: “EDGAR Filing.” In accordance with Release 33-10871, submission form types N-CEN and N-CEN/A will be updated to include the following changes: If the “Report for period ending” is on or after 12/31/2021, then a response to Item F.18 and Item F.19 is required for N-4, N-6, and S-6 filers. For more information see the “EDGAR Form N-CEN XML Technical Specification” document available on https://www.sec.gov/edgar/filer-information/current-edgar-technical-specifications. The following two new sub-items will be added to Item C.7: l. Rule 12d1-4 (17 CFR 270.12d1-4) m. Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) The static text for Item C.7 will be updated as follows: “Reliance on certain statutory exemption and rules. Did the Fund rely on the following statutory exemption or any of the rules under the Act during the reporting period? (check all that apply)” The following two questions will be added for Part F: Additional Questions for Unit Investment Trusts: Item F.18. Reliance on rule 12d1-4. Did the Registrant rely on rule 12d1- 4 under the Act (17 CFR 270.12d1-2) during the reporting period? Item F.19. Reliance on section 12(d)(1)(G). Did the Registrant rely on the statutory exception in section 12(d)(1)(G) of the Act (15 USC 80a- 12(d)(1)(G)) during the reporting period? In addition, submission form types N-CEN and N-CEN/A will be updated to include the following validation changes: Item C.6.g will now accept negative values. Items C.3.b.iii.1, C.3.b.iii.2, C.6.f, C.6.g, E.4.a.ii.1, E.4.a.ii.2, E.4.a.iii.1, and E.4.a.iii.2 will be updated to make decimal values optional instead of required. See Section 8.2.26 in Chapter 8 (Preparing and Transmitting Online Submissions) of the EDGAR Filer Manual, Volume II: “EDGAR Filing.” EDGAR will be updated to support the IFRS 2021 Taxonomy. Additionally the following taxonomies will be disallowed: SRT-2019, US-GAAP-2019, COUNTRY-2017, CURRENCY-2019, DEI-2012, DEI-2019, EXCH-2019, RR-2012, SIC-2011, and NAICS-2011. Please see https://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete list of supported standard taxonomies. Section 5.2.5.12 of the EDGAR Filer Manual, Volume II: “EDGAR Filing” will be updated to specify the supported Transformation Rules Registries. Section 6.7.32 of the EDGAR Filer Manual, Volume II: “EDGAR Filing” will be updated so that only an element declaration having standard type textBlockItemType must have the value ‘duration’ for xbrli:periodType. Sections 6.6.36 and 6.6.37 of the EDGAR Filer Manual, Volume II: “EDGAR Filing” are removed because they are obsolete: neither element type has been used in any standard taxonomy since 2014. Filers creating custom elements of this type always have three distinct types to choose from: dates, durations, and strings. The EDGAR Frequently Asked Questions (FAQ) screens of the EDGAR Filing Website and the EDGAR Filer Management Website will be updated to remove the “EDGAR Quick Reference Guides” hyperlink. See Appendix B (Frequently Asked Questions) of the EDGAR Filer Manual, Volume II: “EDGAR Filing.” Additionally, the Introduction for “Appendix B. Frequently Asked Questions” was revised. Minor documentation only corrections were made to EDGAR Filer Manual, Volume II: “EDGAR Filing” as follows: Inclusion of the following Note in Section 8.2.20 of Chapter 8 (Preparing and Transmitting Online Submissions): “The staff of Trading and Markets recently issued a temporary conditional no-action position for broker-dealers unable to obtain notarization services due to difficulties arising from COVID-19. A broker- dealer relying on the no-action guidance relating to the requirement to notarize the oath or affirmation should not check this box.” Replacement of Figure 8-188: “Signature Screen for submission form type X- 17A-5.” Correction of the title of the EDGAR TA XML Technical Specification document in Chapter 3 (Index to Forms). The Filer Manual is also being revised to address software changes made previously in EDGAR. On May 10, 2021, EDGAR Release 21.1.3 introduced the following changes: In accordance with Release 33-10884, submission form types C, C/A, and C-U were updated to increase the offering limit from $1,070,000 to $5,000,000. Filers can specify up to $5,000,000 for the Target Offering Amount and Maximum Offering Amount. See Chapter 8 (Preparing and Transmitting Online Submissions) of the EDGAR Filer Manual, Volume II: “EDGAR Filing.” In Release 33-10231, the Commission rescinded Form N-Q and Form N-SAR. Accordingly, effective May 10, 2021, EDGAR no longer accepts the following form types: N-Q, N-Q/A, NSAR-A, NSAR-A/A, NSAR-AT, NSAR-AT/A, NSAR-B, NSAR- B/A, NSAR-BT, NSAR-BT/A, NSAR-U, NSAR-U/A, NT-NSAR, and NT-NSAR/A. For more information see the “EDGARLink Online XML Technical Specification” document available on https://www.sec.gov/edgar/filer-information/current-edgar-technical-specifications. See Chapter 3 (Index to Forms), Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions), Appendix C (EDGAR Submission Types), and Appendix E (Automated Conformance Rules for EDGAR Data Fields) of the EDGAR Filer Manual, Volume II: “EDGAR Filing.” If you have any questions, please contact Filer Support at (202) 551-8900 (Option 3).

  • EDGARLink Online Document Attachment Capabilities
    on June 9, 2021 at 1:29 pm

    Effective June 9, 2021, EDGARLink Online permits filers to attach multiple documents simultaneously to EDGAR submissions, if the filer is using an internet browser other than Internet Explorer. If the filer is using Internet Explorer, the filer must attach documents one at a time to EDGAR submissions. For questions or further information, please contact Filer Support—Monday through Friday (except federal holidays), 9:00 a.m. to 5:30 p.m. ET, (202) 551-8900, option 3.

  • EDGAR Release 21.1.3.u1
    on May 17, 2021 at 2:53 pm

    On May 19, 2021, EDGAR Release 21.1.3.u1 will introduce the following changes: Changed the element “duration” under “INCARCERATION_INFORMATION” to optional in eis_MA_DRP.xsd fil. For more information, see the updated “Form MA XML Technical Specification” document available on sec.gov (https://www.sec.gov/info/edgar/tech-specs). If you have any questions, please contact Filer Support at (202) 551-8900 (option 3).

  • EDGAR Release 21.1.3
    on May 5, 2021 at 1:30 pm

    On May 10, 2021, EDGAR Release 21.1.3 introduced the following changes: In accordance with Release 33-10884, submission form types C, C/A, and C-U were updated to increase the offering limit from $1,070,000 to $5,000,000. Filers can specify up to $5,000,000 for the Target Offering Amount and Maximum Offering Amount. As of May 10, 2021, EDGAR no longer accepts the following form types due to the Commission’s rescission of Forms N-Q and N-SAR in Release 33-10231: N-Q, N-Q/A, NSAR-A, NSAR-A/A, NSAR-AT, NSAR-AT/A, NSAR-B, NSAR-B/A, NSAR-BT, NSAR-BT/A, NSAR-U, NSAR-U/A, NT-NSAR, and NT-NSAR/A. For more information, see the updated “EDGARLink Online XML Technical Specification” document available on sec.gov (https://www.sec.gov/info/edgar/tech-specs). If you have any questions, please contact Filer Support at (202) 551-8900 (Option 3).

  • Adoption of the EDGAR Filer Manual, Form ID Amendments
    on March 22, 2021 at 1:10 pm

    The SEC has revised Volume I of the EDGAR Filer Manual, Form ID, and related rules to require applicants for EDGAR access who previously used the “Convert Paper Only Filer to Electronic Filer” process to instead submit the Form ID and an authenticating document to apply for access to file on EDGAR. The change is relevant to applicants for EDGAR access who have Central Index Key (CIK) numbers but have not filed electronically on EDGAR. Form ID has also been amended to update its instructions and cross-references to Volume I. In addition, the SEC has revised Volume II of the EDGAR Filer Manual to reflect updates to the EDGAR system. Please see SEC Release 33-10935 for additional information on these amendments and their effective and compliance dates.

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