on January 13, 2021 at 10:42 pm

We are aware that filers have experienced issues with form 13H (and its variants) caused by the end of life of Adobe Flash software. We are working on a technical fix, which we expect to implement no later than January 31, 2021. We will post another announcement informing form 13H filers when the issue is resolved. In the meantime, some filers have had success filing form 13H by using either Internet Explorer 11 or Microsoft Edge. If that approach does not work, filers should file form 13H after the technical fix is implemented. 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.

on January 12, 2021 at 4:54 pm

The EDGAR system will operate on Inauguration Day—Wednesday, January 20, 2021—as it would on any other business day.  For questions or further information, please email Filer Support. Thank you.

on December 15, 2020 at 9:21 pm

The Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system will be closed on both Thursday, December 24, 2020 and Friday, December 25, 2020, and will treat both days as federal holidays for filing purposes, because the federal government will be closed on both days. EDGAR will resume normal operations on Monday, December 28, 2020. Please be aware that on December 24, 2020 and December 25, 2020: 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 Thursday, December 24; Friday, December, 25; Saturday, December 26; or Sunday, December 27 will be considered timely if filed on or before December 28, 2020, because December 28, 2020 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. Happy holidays.

on December 14, 2020 at 2:10 pm

The SEC has significantly revised Volume I of the EDGAR Filer Manual to remove unnecessary and outdated content and to relocate basic instructions and technical explanations to the EDGAR—Information for Filers webpage at SEC.gov.  The revisions include other changes, including acceptance of electronic notarizations and remote online notarizations in connection with the Form ID application for EDGAR access.   The SEC also amended Rule 10 of Regulation S-T [17 CFR 232.10] to remove the manual signature requirement for Form ID notarization, and to clarify that Rule 10 is excluded from the amendment to Rule 302 of Regulation S-T [17 CFR 232.302].   Finally, filing times in Rule 12 of Regulation S-T [17 CFR 232.12] were amended to accord with the SEC’s current hours for submission of electronic filings. The revised Volume I and the amendments to Rule 10 and Rule 12 will be effective upon publication of the associated SEC release in the Federal Register.  Please see SEC Release 33-10902.

on December 11, 2020 at 9:16 pm

The SEC adopted new Rule 15, under Regulation S-T, on December 11, 2020, to specify several actions that the SEC, in its administration of the EDGAR system, may take to promote the reliability and integrity of EDGAR submissions. The new rule further establishes a process for the SEC to notify filers and other relevant persons of its actions under the rule as soon as reasonably practicable.   The rule will be effective upon publication of the associated SEC release in the Federal Register. Please see SEC Release 33-10901.

on December 9, 2020 at 5:20 pm

On December 14, 2020, EDGAR Release 20.4 will introduce the following changes: The new submission form types will be accessible by selecting the “EDGARLink Online Form Submission” link on the EDGAR Filing Website. Additionally, filers will be able to construct XML submissions for these submission form types by following the “EDGARLink Online XML Technical Specification” document available at sec.gov (https://www.sec.gov/edgar/filer-information/current-edgar-technical-specifications). In Release 33-10771 (effective August 1, 2021), the Commission adopted amendments to modernize our approach to securities fee registration payment by requiring closed-end investment companies that operate as “interval funds” to pay securities registration fees using the same method as mutual funds and exchange-traded funds. Accordingly, EDGAR will be updated with the following changes: See Chapter 3 (Index to Forms), Chapter 4 (Filing Fee Information), Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions), Appendix A (Messages Reported by EDGAR), and Appendix C (EDGAR Submission Types) of the EDGAR Filer Manual, Volume II: “EDGAR Filing.” EDGAR will add ‘ADD EXHB’ on form types DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, 1-K/A, 1-SA, 1-SA/A, 1-U, and 1-U/A. The ‘ADD EXHB’ exhibit will replace the ‘EX1A-15 ADD EXHB’, ‘EX1K-15 ADD EXHB’, ‘EX1SA-15 ADD EXHB’, and ‘EX1U-15 ADD EXHB’ exhibits respectively. To accomplish the renaming of ‘ADD EXHB’, EDGAR will remove the following exhibits on Regulation A form types DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, 1-K/A, 1-SA, 1-SA/A, 1-U, and 1-U/A: See Appendix E (Automated Conformance Rules for EDGAR Data Fields) of the EDGAR Filer Manual, Volume II: “EDGAR Filing.” The “EDGARLink Online XML Technical Specification” document will be updated and available on sec.gov (https:/www.sec.gov/edgar/filer-information/current-edgar-technical-specifications). Additionally, the “EDGAR Reg A XML Technical Specification” document will be updated and available on sec.gov (https://www.sec.gov/edgar/filer-information/current-edgar-technical-specifications). In Release 33-10771 (effective August 1, 2020), the Commission adopted rules to modify the registration, communications, and offering processes for business development companies (“BDCs”) and other closed-end investment companies. Accordingly, EDGAR will be updated with the following changes: Implement the following new submission form types in EDGAR to allow eligible BDCs or closed-end funds investment companies to file automatic shelf registration statements (ASRs) and corresponding post-effective amendments (POSASRs): N-2ASR: Automatic shelf registration statement on Form N-2 for well-known seasoned issuers N-2 POSASR: Post-effective amendment to an automatic shelf registration statement on Form N-2 for well-known seasoned issuers Include the following new header data elements on the “Main” tab of submission form types N-2, N-2/A, N-2MEF, POS 8C, 486APOS, 486BPOS, and 486BXT: Is Filer a New Registrant? Is Filer a Well-Known Seasoned Issuer? Filed Pursuant to General Instruction A.2? Include the following new header data element on the “Main” tab on submission form types N-2, N-2/A, N-14 8C, N-14 8C/A, N-2MEF, and N-14MEF: Is Fund 24F-2 Eligible? Allow filers to itemize share class information on submission form types 24F-2NT and 24F-2NT/A, when the Investment Company Type is “N-2.” Effective April 27, 2020, in accordance with Release 34-88365, issuers are required to include a check box on the cover page of their Forms 10-K, 20-F, and 40-F annual reports to disclose whether they have obtained an internal control over financial reporting (“ICFR”) auditor attestation under Section 404(b) of the Sarbanes-Oxley Act. EDGAR XBRL validation will be updated to require the ICFR auditor attestation flag “IcfrAuditorAttestationFlag” on submission form types 10-K, 10-K/A, 10-KT, 10-KT/A, 20-F, 20-F/A, 40-F, and 40-F/A in accordance with Release 34-88365. This flag is a part of the XBRL DEI-2020 Taxonomy. See Chapter 6 (Interactive Data) of the EDGAR Filer Manual, Volume II: “EDGAR Filing.” Effective January 4, 2021, in accordance with Release 33-10762, EDGAR will update Regulation A form types to permit filers to identify subsidiaries that provide guarantees. Filers will have the option to attach new exhibits in official HTML or ASCII format (and unofficially in PDF format) on submission form types DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, 1-K/A, 1-SA, 1-SA/A, 1-U, and 1-U/A. The new exhibits to be added are: ‘EX1A-17 GNTR/ISSR’ on form types DOS, DOS/A, 1-A, 1-A/A, and 1-A POS ‘EX1K-17 GNTR/ISSR’ on form types 1-K and 1-K/A ‘EX1SA-17 GNTR/ISSR’ on form types 1-SA and 1-SA/A ‘EX1U-17 GNTR/ISSR’ on form types 1-U and 1-U/A ‘EX1A-15 ADD EXHB’ from DOS, DOS/A, 1-A, 1-A/A, and 1-A POS form types ‘EX1K-15 ADD EXHB’ from 1-K and 1-K/A form types ‘EX1SA-15 ADD EXHB’ from 1-SA and 1-SA/A form types ‘EX1U-15 ADD EXHB’ from 1-U and 1-U/A form types If you have any questions, please contact Filer Support at (202) 551-8900 (Option 3).

on November 23, 2020 at 3:35 pm

The SEC expects to receive the highest volume of EDGAR filings in calendar year 2021 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 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).

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.