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.
EDGAR Release 20.3
on September 14, 2020 at 3:42 pm
On September 21, 2020, EDGAR Release 20.3 will introduce the following changes: EDGAR will be updated to add the following new submission form types, as contemplated by Commission Release 33-10765, adopted March 11, 2020: 497VPI: Initial summary prospectus for variable contracts filed pursuant to Securities Act Rule 497(k) 497VPU: Updating summary prospectus for variable contracts filed pursuant to Securities Act Rule 497(k) N-VP: Notice Document for Certain Variable Contracts N-VP/A: Amendment to Notice Document for Certain Variable Contracts N-VPFS: Financial Statements for Certain Variable Contracts N-VPFS/A: Amendment to Financial Statements for Certain Variable Contracts The new submission form types will be accessible by selecting the “EDGARLink Online Form Submission” link on the EDGAR Filing Website. Additionally, filers may construct XML submissions for these submission form types by following 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) and Appendix C (EDGAR Submission Types) of the "EDGAR Filer Manual, Volume II: EDGAR Filing." As part of Commission Release 33-10765, new exhibits for Forms N-3, N-4, and N-6 will be made available on EDGARLink Online. Filers have the option to attach these new exhibits in official HTML or ASCII format (and unofficially in PDF format) on Forms N-3, N-4, and N-6. See Appendix E (Automated Conformance Rules for EDGAR Data Fields) of the "EDGAR Filer Manual, Volume II: EDGAR Filing." As of September 21, 2020, EDGAR will no longer accept the following form types due to the Commission's rescission of the following form types: N-1, N-1/A, N-27E-1, N-27E-1/A, N-27F-1, and N-27F-1/A. Submission form types N-CEN and N-CEN/A will be updated to include the following changes: Added new sub-item “k. Rule 6c-11 (17 CFR 270.6c-11)” to Item C.7 Updated the static “Instruction” in Item E.2 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. EDGAR will be updated to allow filers to “mark changed material” by redlining changed content in inline XBRL submissions for the following submission form types: 10-K, 10-K/A, 10-KT, 10-KT/A, 10-Q, 10-Q/A, 10-QT, 10-QT/A, 10-12B, 10-12B/A, 10-12G, 10-12G/A, 8-K, 8-K/A, 8-K12B, 8-K12B/A, 8-K12G3, 8-K12G3/A, 8-K15D5, 8-K15D5/A, 20-F, 20-F/A, 20FR12B, 20FR12B/A, 20FR12G, 20FR12G/A, 40-F, 40-F/A, 40FR12B, 40FR12B/A, 40FR12G, 40FR12G/A, 6-K, 6-K/A, SP 15D2, SP 15D2/A, POS AM, POS EX, POSASR, S-1, S-1/A, S-1MEF, S-3, S-3/A, S-3ASR, S-3D, S-3DPOS, S-3MEF, S-4, S-4/A, S-4EF, S-4MEF, S-4 POS, S-11, S-11/A, S-11MEF, F-1, F-1/A, F-1MEF, F-3, F-3/A, F-3ASR, F-3D, F-3DPOS, F-3MEF, F-4, F-4/A, F-4EF, F-4MEF, F-4 POS, F-10, F-10/A, F-10EF, F-10POS, 485BPOS, 497, 485APOS, 485BXT, N-1A, N-1A/A. See Chapter 5 (Constructing Attached Documents and Document Types) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.” EDGAR will disallow the IFRS-2018 taxonomy, DEI-2018 taxonomy, and Risk Return Taxonomy 2018 linkbases (presentation, calculation, and definition links). Please see https://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete list of supported standard taxonomies in EDGAR If you have any questions, please contact Filer Support at (202) 551-8900 (Option 3).
SEC Proposes New Rule in Its Administration of EDGAR
on August 24, 2020 at 1:03 pm
The SEC proposed new Rule 15, under Regulation S-T, on Friday, August 21, 2020, concerning the SEC’s administration of the EDGAR system. The proposing release is available on the SEC.gov website.
EDGAR Technical Upgrades
on August 12, 2020 at 2:33 pm
The SEC staff has been deploying significant technical upgrades to the EDGAR system. While these upgrades follow extensive planning and testing, unexpected performance issues that have arisen have inconvenienced filers. We apologize for these difficulties and wish to assure filers that we are working diligently to resolve the issues. Should you experience problems or have any questions or concerns, you may contact Filer Support at (202) 551-8900, option 3, or FilerTechUnit@sec.gov.
EDGAR Will Be Unavailable From Approximately 1:00 p.m. to 1:30 p.m. ET Today
on July 2, 2020 at 4:44 pm
EDGAR will be unavailable to the public from approximately 1:00 p.m. to 1:30 p.m. ET today for technical repair. Filers should ensure that they do not attempt to submit or have submissions in process during this time. Thank you for your cooperation.
EDGAR Technical Difficulties Update
on July 2, 2020 at 2:57 pm
Filers may experience technical difficulties accessing EDGAR. We are actively working to resolve the issue and will provide updates as soon as they are available. Please check the banner on the EDGAR News & Announcements page for the latest information.
Temporary Final Rule 10(c) Expires Today; Filers May Continue to Submit Electronic and Remote Online Notarization in Support of Form ID
on July 1, 2020 at 4:59 pm
July 1, 2020 On March 26, 2020, the Commission temporarily amended Rule 10 of Regulation S-T to provide relief through July 1, 2020 from the notarization requirements for EDGAR access requests, subject to certain conditions. Today is the final day to rely on temporary final Rule 10(c) to apply for EDGAR access. (As a reminder, those filers who have already applied for access under Rule 10(c) have 90 days from receipt of EDGAR access to comply with the notarization requirements.) Please be aware that EDGAR Filer Support will continue to work with filers to accept electronic and remote online notarizations. Please refer to the “Other Relief” section of the SEC’s joint statement published June 26, 2020, Targeted Regulatory Relief to Assist Market Participants Affected by COVID-19. If filers require assistance, they may contact 202-551-8900 option 3.
Reminder for Filers Who Obtain EDGAR Access During the COVID-19 Pandemic Pursuant to Temporary Final Rule 10(c)
on June 9, 2020 at 6:02 pm
Submit the Required Notarized Authentication Document Within 90 Days of Submitting Your Access Application If you submitted (or plan to submit) an application for EDGAR access pursuant to temporary final Rule 10(c) of Regulation S-T between March 26, 2020 and July 1, 2020, due to inability to obtain notarization of Form ID during the COVID-19 pandemic, please be reminded to submit the required notarized authentication document as correspondence to EDGAR within 90 days of the day you submitted your application for EDGAR access. Failure to do so may result in suspension of your access to EDGAR. For example, if you submitted your application for EDGAR access on March 26, 2020 in reliance upon temporary final Rule 10(c), then you must file the notarized authentication document in EDGAR on or before June 24, 2020 (90 days thereafter) to avoid having your access suspended. Please check your records or login to your EDGAR account to check the date you submitted your EDGAR access application. Please submit the notarized authentication document—a PDF copy of a notarized Form ID signed by an authorized person of the entity—as correspondence (CORRESP) on EDGAR. Instructions for submitting the notarized authentication document are available on the EDGAR - How Do I page of SEC.gov under the section “Save authentication document as a PDF File in Adobe Acrobat / Adobe Reader.” If you have any questions, please send an email to EDGAR_Escalations@SEC.GOV with detailed information about your question as well as your contact information.
EDGAR Filing Window Extension on April 29, 2020 for Registered Investment Companies and Business Development Companies
on April 22, 2020 at 7:38 pm
The Division of Investment Management is extending the EDGAR filing window on April 29, 2020, from 5:30 p.m. to 10:00 p.m. Eastern Daylight Time (EDT) for registered investment company and business development company filings to mitigate potential filing delays due to the ongoing impacts of COVID-19. A registered investment company or business development company filing submitted after 5:30 p.m. EDT would normally be considered to be filed the next business day, but instead if it is filed by 10:00 p.m. EDT on April 29, 2020, the SEC will automatically adjust its filing date in EDGAR to reflect April 29. The SEC will make the adjustment on April 30 or as soon as practicable thereafter. Filers who do not intend a filing date adjustment should notify IMEmergency@sec.gov. This is a one-day extension only and therefore any registered investment company or business development company requiring a subsequent filing window extension should submit a request to IMEmergency@sec.gov. Filers with questions may contact EDGAR Filer Support at 202-551-8900, option 3.
EDGAR Updates Form N-MFP, Item C.17 to Allow Reporting of Negative Values
on April 7, 2020 at 7:45 pm
The SEC updated EDGAR Form N-MFP, Item C.17 last night to allow certain Division of Investment Management filers to report negative values for that item. (Prior to the change, Item C.17 did not accept negative values.) Filers should download the latest schema to avoid error messages. The updated technical specification is available here: https://www.sec.gov/info/edgar/specifications/form-n-mfp2-xml-tech-specs.htm. Filers do not need to download the schema, however, to make their submission today; they may disregard error messages triggered by the prior schema and proceed to submit; EDGAR will accept these filings. For filers wishing to enter negative values in Item C.17, the format of the entry should be a negative sign “—“ followed by one digit, followed by a decimal point “.”, followed by four digits. For example, a negative value entry in Item C.17 might look like this: -1.1234 Filers with questions may contact EDGAR Filer Support at 202-551-8900, option 3.