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 BETA Open To Filers
    on October 12, 2021 at 2:21 pm

    The SEC has opened an EDGAR beta environment (“EDGAR Beta”) to allow testing and review of many of the potential technical changes to EDGAR filer access and account management currently under consideration by the Commission.  We have branded these potential changes as EDGAR Next—Improving Filer Access and Account Management.  Filers may register for EDGAR Beta beginning October 12, 2021, on the Sign up for EDGAR Beta page. Please be aware that filers will be redirected to Login.gov to create individual credentials as part of the EDGAR Beta registration process. Filers must provide certain information to register for EDGAR Beta; please consult the Sign up for EDGAR Beta page for a description of that information. EDGAR Beta is to be used only for testing purposes. We expect EDGAR Beta to remain open throughout the SEC's consideration of the potential technical changes to EDGAR filer access and account management, and we anticipate that filers may register for EDGAR Beta at any point in time while EDGAR Beta is open. For more information, please see the EDGAR Next—Improving Filer Access and Account Management information page on SEC.gov, and the SEC’s Request for Comment on Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes.

  • EDGAR Release 21.3.1
    on October 4, 2021 at 4:51 pm

    On October 6, 2021, EDGAR Release 21.3.1 will introduce the following changes for Form X-17A-5 Part III: Updated the sample XML file under Section 2.1 to reflect the latest schema changes Updated Section 3.4 with the following changes: Added new element confirming008CopyNumber Added new element confirming026CopyNumber Added new element typeOfBDRegistrant Added new element typeOfSDRegistrant Added the following new choice list options REGISTRANT_BD_TYPE REGISTRANT_SD_TYPE SUB_REGISTRANT_BD_TYPE Updated Section 4 to include the following new Data Value Constraints REGISTRANT_BD_TYPE REGISTRANT_SD_TYPE SUB_REGISTRANT_BD_TYPE Updated Section 4.3 REGISTRANT_BD_TYPE with the following option Broker-dealer Updated Section 4.4 REGISTRANT_SD_TYPE with the following options Security-based swap dealer Major security-based swap participant Updated Section 4.5 SUB_REGISTRANT_BD_TYPE with the following options OTC derivatives dealer Updated Section 4.7 SUB_DOCUMENT_TYPE to remove the entire document types except for document type “FULL”. Updated Section 5.2.1 with the appropriate document types and sample after removing the entire document types except for document type “FULL”. For more information, see the updated “Form X-17A-5 XML Technical Specification (Version 6)” 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 Next—Improving Filer Access and Account Management
    on September 30, 2021 at 7:04 pm

    September 30, 2021 The SEC is considering potential technical changes to how filers access the EDGAR system to make submissions, and how filers manage individuals who file on their behalf, which we have branded as EDGAR Next—Improving Filer Access and Account Management. Please see the SEC’s Request for Comment on Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes, posted on SEC.gov. On Tuesday, October 12, 2021, the SEC will open an EDGAR beta environment (EDGAR Beta) to allow filers to review and test many of the potential technical changes to EDGAR filer access and account management. Filers may register for EDGAR Beta starting on October 12, 2021, and the EDGAR Business Office will post an announcement with information about how to sign up for EDGAR Beta closer to that date.    Please see the EDGAR Next—Improving Filer Access and Account Management information page on SEC.gov for more information.

  • EDGAR Release 21.3.u1
    on September 21, 2021 at 6:53 pm

    On September 23, 2021, EDGAR Release 21.3.u1 introduced the following changes: Updated the element 'sros' from optional to mandatory in eis_Subject.xsd file If you have any questions, please contact Filer Support at (202) 551-8900 (Option 3).

  • EDGAR Release 21.3
    on September 10, 2021 at 6:29 pm

    On September 20, 2021, EDGAR Release 21.3 will introduce the following changes: Form ID will be updated to include the following changes: The following privacy notice: PRIVACY ACT STATEMENT AUTHORITIES: The information is sought pursuant to 15 U.S.C. 77a et seq., 15 U.S.C. 77aaa et seq., 78a et seq., 80a-1 et seq., and 17 CFR 232.10. PURPOSE: The information solicited on this form will be used to determine whether to allow applicants to make filings on EDGAR, and, where access is granted, to establish and maintain the filer’s EDGAR account. ROUTINE USES: Uses for the information collected can be found in the System of Records Notice SEC-33: General Information Technology Records. See https://www.sec.gov/about/privacy/sorn/sec-33_sec_general_information_technology_records.pdf. DISCLOSURE: Providing this information is voluntary. Failure to provide the information requested on this form, however, may affect the determination whether to allow applicants to make filings on EDGAR. Clarification that information provided on Form ID may become publicly available. Clarification that Commission staff may request supporting documentation before approving changes to a filer’s name. As part of Release 33-10771, the Commission adopted a requirement that filings on Form 24F-2 be submitted in a structured format. This release introduces 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 the new online version which is available on the EDGAR Filing Website or constructed by filers according to the new “EDGAR Form 24F-2 XML Technical Specification” document available on https://www.sec.gov/edgar/filer-information/current-edgar-technical-specifications. Submission form types 24F-2NT and 24F-2NT/A may be accessed by selecting the “File Form 24F-2” link on the EDGAR Filing Website. Instructions to file the online version of Form 24F-2 are included in two new sections of Chapter 8 (Preparing and Transmitting Online Submissions) of the EDGAR Filer Manual, Volume II: “EDGAR Filing” to guide filers through the filing process. Filers will only be allowed to submit online versions of form types 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. EDGAR will be updated to add the following new submission form type, as adopted by Commission Release 33-10771, effective August 1, 2021: 424I: Prospectus filed pursuant to Rule 424(i)(1) As adopted by Commission Release IC-34078, EDGAR will be updated to include the following new submission form types to EDGARLink Online: 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 The new N-RN and N-RN/A submission form types are 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 the SEC's Public Website (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.” These form types will eventually replace form types N LIQUID and N-LIQUID/A. Also 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 on certain 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. See Section 8.2.26 in Chapter 8 (Preparing and Transmitting Online Submissions) of the EDGAR Filer Manual, Volume II: “EDGAR Filing.” Finally 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: Section B.9: Derivatives Exposure for limited derivatives users. If the Fund is excepted from the rule 18f-4 [17 CFR 270.18f-4] program requirement and limit on fund leverage risk under rule 18f-4(c)(4) [17 CFR 270.18f-4(c)(4)], provide the following information: Section B.10: VaR information. For Funds subject to the limit on fund leverage risk described in rule 18f-4(c)(2) [17 CFR 270.18f-4(c)(2)], provide the following information, as determined in accordance with the requirement under rule 18f- 4(c)(2)(ii) to determine the fund’s compliance with the applicable VaR test at least once each business day: Additionally, the description for Item B.8 was updated. For more information see the “EDGAR Form N-PORT XML Technical Specification” document available on https://www.sec.gov/edgar/filer-information/current-edgar-technical-specifications. In Rule 34-87005, “Recordkeeping Adopting Release” the Commission adopted a revised version of Form X-17A-5 Part III. In accordance with these rules, EDGAR will be updated to allow the X-17A-5 form 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.” Exchange Act Rule 15Fi-3(c), adopted on December 18, 2019, requires security-based swap dealers and major security-based swap participants (together, “SBS Entities”) to provide the Commission with notices of certain valuation disputes with their counterparties. In accordance with this rule, EDGAR will be updated to include the following two new form types: SBS DISPUTE NOTICE: DISPUTE NOTICE: Security-Based Swap Entity Valuation Dispute Notice SBS DISPUTE NOTICE/A: Amendment to a Security-Based Swap Entity Valuation Dispute Notice The new submission form types are 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 the SEC's Public Website (https://www.sec.gov/edgar/filer-information/current-edgar-technical-specifications). The information is these notices is non-public, and therefore these notices will not be disseminated or available for public viewing on http://www.sec.gov. See Chapter 3 (Index to Forms) and Appendix C (EDGAR Submission Types) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.” In accordance with Release 33-10884, submission form types D and D/A will be updated to increase the Total Offering Amount in "Item 13: Offering and Sales Amounts" from a maximum of $5,000,000 to $10,000,000 if any "Rule 504" item is selected. See Chapter 8 (Preparing and Transmitting Online Submissions) and Appendix A (Messages Reported By EDGAR) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.” EDGAR will be updated to disallow the IFRS-2019 Taxonomy. Please see https://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete list of supported standard Taxonomies in EDGAR. EDGAR will be updated to no longer use the description “Taiwan, Province of China” for Taiwan and will only use the term “Taiwan” without a following modifier, in compliance with the U.S. Government’s Geopolitical Entities, Names, and Codes (GENC) Standard. The state/country list of values for all XML Schemas will be updated to reflect this change. EDGAR will be updated to accept the SBSE-C Certification form immediately after receiving the SBSE registration forms SBSE, SBSE-A and SBSE-BD. The EDGAR Filer Management, EDGAR Filing, and EDGAR Online Forms Management websites will be updated to include the following EDGAR Privacy Notice: EDGAR PRIVACY NOTICE To learn about how the SEC handles your information and its privacy, data collection, and data sharing policies, please visit the SEC Web Site Privacy and Security Policy. If you submit personally identifiable information (PII) in a filing by error you may amend that filing or refile it without the PII. In very rare and unusual circumstances, SEC staff will consider requests to delete a filing from the EDGAR system. You can find additional guidance here: Correct, withdraw, or delete a filing. This notice can be accessed by selecting the “EDGAR Privacy Notice” hyperlink on the bottom of the Home Page of the three websites. The EDGAR Filer Management, EDGAR Filing, and EDGAR Online Forms Management websites will be updated to drop support for Internet Explorer (IE) and add support for Microsoft Edge. If you have any questions, please contact Filer Support at (202) 551-8900 (Option 3).

  • SEC.gov Cipher Updates
    on August 25, 2021 at 1:38 pm

    August 26, 2021 Filers who use third-party custom software solutions to connect to EDGAR should be aware that the SEC will update the ciphers it supports in its Transport Layer Security (TLS) cryptographic protocol on November 30, 2021.   TLS relies on cipher sets to encrypt and authenticate data. These cipher sets, or profiles, are updated from time to time to improve efficiency and security.  Older cipher profiles support out-of-date weak ciphers. We strive to use newer stronger cipher profiles which are compatible with all up-to-date web browsers.   A table of the SEC’s currently supported ciphers is below. Ciphers in red italics will not be supported after November 30, 2021. If you have any questions, please email EDGAR_Escalations@sec.gov.Thank you. TLS Version OpenSSL Cipher Name (Hex Code) IANA Cipher Name 1.3 TLS-AES-256-GCM-SHA384 (0x13,0x02) TLS_AES_256_GCM_SHA384 1.3 TLS-CHACHA20-POLY1305-SHA256 (0x13,0x03) TLS_CHACHA20_POLY1305_SHA256 1.3 TLS-AES-128-GCM-SHA256 (0x13,0x01) TLS_AES_128_GCM_SHA256 1.3 TLS-AES-128-CCM-8-SHA256 (0x13,0x05) (0x13,0x05) TLS_AES_128_CCM_8_SHA256 1.3 TLS-AES-128-CCM-SHA256 (0x13,0x04) TLS_AES_128_CCM_SHA256 1.2 ECDHE-ECDSA-AES256-GCM-SHA384 (0xC0,0x2C) TLS_ECDHE_ECDSA_WITH_AES_256_GCM_SHA384 1.2 ECDHE-ECDSA-AES128-GCM-SHA256 (0xC0,0x2B) TLS_ECDHE_ECDSA_WITH_AES_128_GCM_SHA256 1.2 ECDHE-RSA-AES256-GCM-SHA384 (0xC0,0x30) TLS_ECDHE_RSA_WITH_AES_256_GCM_SHA384 1.2 ECDHE-RSA-AES128-GCM-SHA256 (0xC0,0x2F) TLS_ECDHE_RSA_WITH_AES_128_GCM_SHA256 1.2 ECDHE-ECDSA-CHACHA20-POLY1305 (0xCC,0xA9) TLS_ECDHE_ECDSA_WITH_CHACHA20_POLY1305_SHA256 1.2 ECDHE-RSA-CHACHA20-POLY1305 (0xCC,0xA8) TLS_ECDHE_RSA_WITH_CHACHA20_POLY1305_SHA256 1.2 ECDHE-ECDSA-AES256-SHA384 (0xC0,0x24) TLS_ECDHE_ECDSA_WITH_AES_256_CBC_SHA384 1.2 ECDHE-ECDSA-AES128-SHA256 (0xC0,0x23) TLS_ECDHE_ECDSA_WITH_AES_128_CBC_SHA256 1.2 ECDHE-RSA-AES256-SHA384 (0xC0,0x28) TLS_ECDHE_RSA_WITH_AES_256_CBC_SHA384 1.2 ECDHE-RSA-AES128-SHA256 (0xC0,0x27) TLS_ECDHE_RSA_WITH_AES_128_CBC_SHA256 1.2 ECDHE-RSA-AES256-SHA (0xC0,0x14) TLS_ECDHE_RSA_WITH_AES_256_CBC_SHA 1.2 ECDHE-RSA-AES128-SHA (0xC0,0x13) TLS_ECDHE_RSA_WITH_AES_128_CBC_SHA

  • SEC to apply new rate control limits to EDGAR websites
    on July 27, 2021 at 7:06 pm

    To ensure that automated searches do not affect the ability of other users to access EDGAR websites, the SEC will limit automated searches to a total of no more than 10 requests per second regardless of the number of machines used to submit requests. This action—consistent with the agency’s Internet Security Policy—will be deployed today, July 27, 2021, starting with the EDGAR Portal and EDGAR Company Database. If a user or application submits more than 10 requests per second to EDGAR websites, the SEC may limit further requests from the relevant IP address(es) for a brief period. When the rate of requests drops below the 10-requests-per-second threshold, the user will be able to resume access to these websites. This practice is designed to limit excessive automated searches and is not intended or expected to impact use by individuals. As stated in the Internet Security Policy,  the SEC does not allow "unclassified" bots or automated tools to crawl agency websites. Any request that the SEC identifies as part of an unclassified bot or an automated tool that exceeds 10 requests per second will be managed to ensure fair access for all users. The SEC does not offer technical support for developing or debugging scripted processes. For further information, please refer to the SEC Developer Page and Internet Security Policy.

  • 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.

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