on October 25, 2022 at 6:24 pm

The SEC expects to receive the highest volume of EDGAR filings in calendar year 2023 on the dates listed on the EDGAR Calendar webpage. To accommodate potentially longer processing times on high filing volume dates, filers should submit any test or applicable live filings as early as possible prior to the due date of a filing. Filer Support is available to assist filers Monday through Friday (except federal holidays), from 9:00 a.m. to 5:30 p.m. ET at (202) 551-8900, option 3. Please be aware that filers who contact Filer Support on peak filing dates may experience longer than usual wait times.

on October 18, 2022 at 2:16 pm

Pursuant to recent SEC amendments, certain Form 144 filings must be made on the SEC’s Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.  Affected filers have until April 13, 2023 to transition from paper to electronic filing of Form 144. During this transition period, affected filers must ensure that they have an EDGAR account.  Apply for an EDGAR account Reporting persons who do not have EDGAR accounts should apply for access to EDGAR as soon as possible, and well before the compliance deadline of April 13, 2023. Applications are not automatically granted and staff may have questions about your application. Resources for filing electronically We have created a Form 144—Resources for Filing Electronically webpage to support affected Form 144 filers and filing agents in applying for access to EDGAR and in preparing and submitting the electronic Form 144. If you have questions about whether you are required to file a Form 144, please contact the Division of Corporation Finance’s Chief Counsel Office at (202) 551-3500, option 4. If you have questions regarding applying for access to EDGAR and in preparing and submitting the new electronic Form 144, please contact EDGAR Filer Support.

on October 13, 2022 at 3:57 pm

On October 17, 2022, EDGAR Release 22.3.1 will introduce the following changes to the online fillable Form 144: Increase the maximum number element sets allowed for "" and "" from 20 to 40. Increase the maximum number sets allowed for "" from 20 to 200. If the filer indicates that the securities were a gift, the “" and "" are optional elements that the filer may complete. Refer to this document for information on the updated fields for 144 form types. The “Form 144 XML Technical Specification” will be available on the SEC's Public Website (https://www.sec.gov/info/edgar/tech-specs).

on September 27, 2022 at 2:46 pm

The EDGAR system is now ready to accept electronic Form 144 filings pursuant to recent SEC amendments that require certain Forms 144 be filed electronically with the SEC. Filers have approximately six (6) months from September 2022 to transition to electronic filing of Form 144. We will announce the exact compliance date for electronic filing of Form 144 after Federal Register publication of the relevant release, anticipated to occur in the coming weeks. Apply for an EDGAR account Reporting persons who do not have EDGAR accounts should apply for access to EDGAR as soon as possible, and well before the end of the compliance period. Resources for filing electronically We have created a Form 144—Resources for Filing Electronically webpage to support Form 144 filers and filing agents in applying for access to EDGAR and in preparing and submitting the electronic Form 144. If you have questions about whether you are required to file a Form 144, please contact the Division of Corporation Finance’s Chief Counsel Office at (202) 551-3500, option 4. If you have questions regarding applying for access to EDGAR and in preparing and submitting the new electronic Form 144, please contact EDGAR Filer Support. Please check the Resources page regularly, as we will continue to add to and update its information.

on September 19, 2022 at 3:50 pm

On September 19, 2022, EDGAR Release 22.3 will introduce the following changes: In Release No. 34-95148, the Commission adopted amendments to require institutional investment managers to file confidential treatment requests for filings made under section 13(f) of the Securities Exchange Act of 1934 electronically on EDGAR. EDGAR was updated to add the following new form types to EDGAR Online Forms: 13F-CTR: Form 13F Confidential Treatment Request 13F-CTR/A: Amendment to a Form 13F Confidential Treatment Request (including a de novo request, if any) The new form types are accessible by selecting the "File Form 13F Confidential Treatment Request (Form 13F-CTR)" link on the EDGAR Filing Website. Additionally, filers may construct XML submissions for these form types by following the "EDGAR Form 13F XML Technical Specification" document available on the SEC's Public Website (https://www.sec.gov/info/edgar/tech-specs). See Chapter 3 (Index to Forms), Chapter 5 (Constructing Attached Documents and Document Types), Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions), Chapter 8 (Preparing and Transmitting Online Submissions), Appendix A (Messages Reported by EDGAR), and Appendix E (Automated Conformance Rules for EDGAR Data Fields) of the EDGAR Filer Manual, Volume II: "EDGAR Filing." In Release No. 34-95148, the Commission also adopted amendments to require the electronic submission of applications for orders under the Investment Advisers Act of 1940 on EDGAR. Applicants should submit applications under the following submission types, as applicable: 40-APP, 40-APP/A, 40-OIP, 40-OIP/A, 40-6B, 40-6B/A. In Release 33-11070, the Commission adopted rule and form amendments to require electronic filing of Form 144 on EDGAR. Form 144 may only be filed using the new online version of the form available on the EDGAR OnlineForms Management Website or constructed by filers according to the new "EDGAR Form 144 XML Technical Specification" document available on the SEC's Public Website (https://www.sec.gov/info/edgar/tech-specs). The submission types 144 and 144/A will be accessible on the EDGAR OnlineForms Website by selecting the "File Form 144" link under their respective names (144 and 144/A).  Instructions to file the filer-constructed XML version are included in Chapter 7 (Preparing and Transmitting EDGARLink Online Submission) and Chapter 8 (Preparing and Transmitting Online Submissions) of the EDGAR Filer Manual, Volume II: "EDGAR Filing." In Release 33-11047, the Commission adopted technical amendments to various rules and forms, including amendments to Form N-MFP and Form N-CEN to clarify instructions and correct typographical errors. Conforming text changes were made to the style sheets for Form N-MFP and Form N-CEN and the online application for Form N-CEN. See Chapter 8 (Preparing and Transmitting Online Submissions) of the EDGAR Filer Manual, Volume II: "EDGAR Filing." On August 15, 2022, EDGAR Release 22.2.2 introduced the following change: EDGAR was updated to allow the use of srt/2022q3 and us-gaap/2022q3 as supplements to srt/2022 and us-gaap/2022. If you have any questions, please contact Filer Support at (202) 551-8900 (Option 3).

on June 17, 2022 at 5:35 pm

On June 21, 2022, EDGAR Release 22.2 introduced the following changes: In connection with Release 34-93701, the Holding Foreign Companies Accountable Act Disclosure (HFCAA), EDGAR will be updated to include the following new submission form type that will allow registrants to indicate that they are not owned or controlled by a governmental entity in a foreign jurisdiction: SPDSCL The final amendment of the rule required that filers submit documentation in an appropriate public EDGAR submission. In order to simplify the submission process, EDGAR has been updated to provide the SPDSCL submission type which allows the filer to select a category that clearly indicates that the filer is providing documentation that it is not controlled by a foreign government. While filers may choose to include the documentation in public filings other than Forms 20-F, 40-F, 10-K, and N-CSR, like a 6-K or 8-K, this submission allows both the public and the SEC staff to more readily identify the required documentation. The new submission form type is accessible by selecting the "EDGARLink Online Form Submission" link on the EDGAR Filing Website. Additionally, filers may construct XML submissions for this submission form type 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), Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions), and Appendix C (EDGAR Submission Types) of the EDGAR Filer Manual, Volume II: "EDGAR Filing." The filer should select a Category of “HFCAA-GOV.” The Commission has issued substituted compliance orders permitting certain foreign firms to file their annual audit pursuant to their home country’s laws rather than pursuant to the Commission’s rules, as long as they also send a copy of such annual financial statements to the Commission in the manner specified on the Commission’s website.  In accordance with  these orders, the “Oath or Affirmation” and “Notary Public” sections of the Form X-17A-5 Part III  will not be viewable by foreign non-broker-dealer security-based swap dealers and major security-based swap participants relying on a Commission substituted compliance order. See Chapter 8 (Preparing and Transmitting Online Submissions) of the EDGAR Filer Manual, Volume II: "EDGAR Filing." EDGAR was updated to support the IFRS 2022 and VIP 2022Q2 taxonomies. Additionally, we are removing the versions from the earliest year of all XBRL taxonomies for which there are currently versions from three years outstanding. See https://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete list of supported  standard taxonomies. As part of Release 33-10532, Disclosure Update and Simplification (DUSTR), the following exhibits are rescinded and removed from the “Type” drop down menu on the documents tab and filer constructed submission: Exhibit 11 for the following submission form types and their amendments: S-1 S-4 S-11 F-1 F-4 10-K 10-12B 10-12G 10-Q Exhibit 12 for the following submission form types and their amendments: S-1 S-3 S-4 S-11 F-1 F-4 10-K 10-12B 10-12G Exhibit 19 for the following submission form type and its amendment: 10-K Exhibit 26 for the following submission form types and their amendments: S-3 SF-1 SF-3 S-4 F-1 F-3 F-4 Filers who have a file number beginning with 001- may now use submission form types 15-12G and 15-12G/A to give notice of termination of registration of a class of securities under Section 12(g) of the Securities Exchange Act of 1934.  Submission form types 15-12B and 15-12B/A are revoked. Technical corrections were made to sections 6.5.21, 6.5.40, 6.5.55, 6.5.56, and 6.16.11 of Volume II of the Filer Manual to clarify data validations for submissions by investment companies registered on Forms N-1A, N-2, and N-3. The EDGAR Filer Manual has been revised to address software changes made previously in EDGAR: On April 18, 2022, EDGAR Release 22.1.1 introduced the following changes: EDGAR was updated to prevent a firm from amending another firm’s MA‑I. The N-CEN XML schema eis_Common.xsd file was updated to correct the attachment list. On May 31, 2022, EDGAR Release 22.1.2 introduced the following change: On October 13, 2021, the Commission adopted rules to modernize filing fee disclosure and payment methods as part of Release 33-10997. On May 31, 2022, EDGAR was updated to allow filers to pay filing fees via credit card, debit card, and Automated Clearing House (ACH) debit payment methods. After filers login to submit their payments, EDGAR now relies on Pay.gov to perform the payment processing for ACH and debit and credit card payments. The lockbox for the receipt of checks is no longer available. Checks will be returned to the sender. The "EDGARLink Online XML Technical Specification" and “Form 24F-2 XML Technical Specification” documents were updated and are available on the SEC's Public Website (https://www.sec.gov/edgar/filer-information/current-edgar-technical-specifications). Further details on the specific changes can be found on the SEC’s Public Website (https://www.sec.gov/edgar/filer-information/specifications/edgarlink-online-xml and https://www.sec.gov/edgar/filer-information/specifications/form-24f-2-xml-technical-specifications). If you have any questions, please contact Filer Support at (202) 551-8900 (Option 3).

on March 21, 2022 at 1:56 pm

As of May 31, 2022, EDGAR filers will be able to make filing fee payments to the SEC in EDGAR using credit and debit cards, ACH, and the existing Fedwire payment method.  To use the new payment methods, filers must access Pay.gov through EDGAR for payments to be processed.  Details about Pay.gov payment functionality can be found in the EDGAR Filer Manual, Volume II. Please note also that as of May 31, 2022, EDGAR filers will no longer be able to submit payments by check, and the filing fee lockbox that currently accepts check payments will be retired effective May 31, 2022.  Check payments received on or after this date will be returned to filers without further processing, and filers will have to submit payments using an alternate payment method prior to submitting a filing that requires fees to be paid. The payment changes are a result of Filing Fee Disclosure and Payment Methods Modernization amendments (Release 33-10997) adopted by the SEC on October 13, 2021.  Payments to the SEC for services other than filing fee payments should continue to be submitted according to the requirements for those services.

on March 21, 2022 at 1:07 pm

On March 21, 2022, EDGAR Release 22.1 will introduce the following changes: In connection with Commission Release IC-34199, EDGAR will be updated to include the following new submission form type to EDGARLink Online: 497VPSUB: Substitution-related supplement and correspondence for variable contracts filed pursuant to the Commission Statement on Insurance Product Fund Substitution Applications The new submission form type is accessible by selecting the "EDGARLink Online Form Submission" link on the EDGAR Filing Website. Additionally, filers may construct XML submissions for this submission form type 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), Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions), and Appendix C (EDGAR Submission Types) of the EDGAR Filer Manual, Volume II: "EDGAR Filing." On October 13, 2021, the Commission adopted rules to modernize filing fee disclosure and payment methods as part of Release 33-10997. EDGAR will be updated to allow filers to pay filing fees via credit card, debit card, and Automated Clearing House (ACH) debit payment methods. EDGAR will use Treasury's Pay.gov for filers to initiate payments in the system, and rely on Pay.gov to perform the payment processing for ACH and debit and credit card payments. The lockbox for the receipt of checks will no longer be available as of May 31, 2022. Checks received on or after this date will be returned to the sender. Instructions on how to pay filing fees are included in Chapter 4 (Filing Fee Information) of the "EDGAR Filer Manual, Volume II: EDGAR Filing". The Commission has issued orders granting substituted compliance with respect to the requirements of Exchange Act Rule 18a-7 which requires that security-based swap dealers file annual audited financial statements and reports. These orders require a security-based swap dealer applying substituted compliance with respect to these requirements of Rule 18a-7 to, among other things, simultaneously send to the Commission a copy of the firm's annual financial statements filed pursuant to the firm's home-country requirements and the report of the independent public accountant covering the annual financial statements. In accordance with these orders, EDGAR is being updated to allow filers that are not broker-dealers to select the new “Filing pursuant to a Commission substituted compliance order” check box. Such firms would be permitted to make the entirety of their filing confidential. See Chapter 8 (Preparing and Transmitting Online Submissions) of the EDGAR Filer Manual, Volume II: "EDGAR Filing." The "EDGAR Form X-17A-5 XML Technical Specification" document will be updated and available on https://www.sec.gov/edgar/filer-information/current-edgar-technical-specifications. New exhibit "EX-99.36 Form 7-R" (Firm Application) is being added to the drop down exhibit list for submission form types SBSE-A and SBSE-A/A. This gives SBSE-A filers, who file Form 7-R with the Commodity Futures Trading Commission (or its designee), and who are required to file that form with the Commission, a designated location to place it when filing on EDGAR. Filers can attach "EX-99.36 Form 7-R" in official HTML, ASCII, or PDF format. See Chapter 5 (Constructing Attached Documents and Document Types), Chapter 8 (Preparing and Transmitting Online Submissions), and Appendix E (Automated Conformance Rules for EDGAR Data Fields) of the EDGAR Filer Manual, Volume II: "EDGAR Filing." As part of Release 33-10765, the Commission adopted amendments that will require variable contracts to tag certain disclosures in Forms N-3, N-4, and N-6 in iXBRL. In conjunction with the amendments, EDGAR will be updated to support the 2022 Variable Insurance Product (VIP) Taxonomy. See Chapter 6 (Interactive Data) of the EDGAR Filer Manual, Volume II: "EDGAR Filing." Appendix B “Frequently Asked Questions” (FAQs) has been modified, and Appendix F “Glossary of Commonly Used Terms, Acronyms and Abbreviations” has been removed. Appendix B is now titled, “EDGAR – Information for Filers”, and links to the "EDGAR - Information for Filers" webpage on SEC.gov, containing a revised Glossary, and updated FAQs, including a "How Do I?" guide with step-by-step instructions concerning filing on EDGAR. Appendix D "Paper Forms" has been revised to remove screenshots of the paper forms. A notice that current and prospective EDGAR filers can download electronic copies of EDGAR-related forms from https://www.sec.gov/forms remains. The EDGAR Filer Manual has been revised to address software changes made previously in EDGAR: On February 22, 2022, EDGAR Release 22.0.2 introduced the following change: Submission form types MA-A and MA-A/A will be validated to prevent filers from submitting a form with the incorrect fiscal year. Filers will not be able to submit their annual amendment in EDGAR for a fiscal year that has not yet been completed in the “Fiscal Year End Information” field on Item 1, Part I of the form. See Chapter 8 (Preparing and Transmitting Online Submissions) and Appendix A (Messages Reported By EDGAR) of the EDGAR Filer Manual, Volume II: "EDGAR Filing.” On September 20, 2021, EDGAR Release 21.3 introduced the following change: In Rule 34-87005, Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers, the Commission adopted a revised version of Form X-17A-5 Part III. In accordance with these rules, EDGAR was updated to allow Form X-17A-5 Part III to be filed by two new classes of registrants (security-based swap dealers and major security-based swap participants). See Chapter 8 (Preparing and Transmitting Online Submissions) of the EDGAR Filer Manual, Volume II: "EDGAR Filing." These changes were deployed in Release 21.3.1 on October 6, 2021. If you have any questions, please contact Filer Support at (202) 551-8900 (Option 3).

on March 18, 2022 at 2:44 pm

The EDGAR Beta environment is available until March 25, 2022 for filing agent/filing software vendor adjustments related to the SEC’s previously announced planned change to EDGAR filing websites that will impact how some third-party software may communicate with these websites (EDGAR Filer Web a/k/a EDGAR Link Online and Online Forms). The SEC plans to implement the change on or about April 4, 2022. As the SEC announced on February 10, 2022, EDGAR will create a unique parameter that some third-party software products may need to include with every request that enters/updates information. EDGAR will verify the existence and validity of the parameter in filers’ requests, and will terminate user sessions if the value of the parameter is missing or mismatched. Filing agents/filing software vendors can obtain technical details on this upcoming change by logging into EDGAR Filer Web a/k/a EDGAR Link Online and viewing the information under the “EDGAR Filer News” section. If you have any questions and/or would like to participate in this testing, please email EdgarOperationsFilerCommunications@sec.gov. Thank you.