# A. Submission Types Accepted for Electronic Filing > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/agency%3Asec%3A253571e4fa3c8fc7 ## Record - **Collection:** Agency decision - **Document type:** Agency decision ## Text APPENDIX A A. Submission Types Accepted for Electronic Filing This Appendix provides tables listing all submission types accepted by EDGAR. Use this Appendix to find a description of EDGAR submission types and to identify the templates used to recognize different submission types. A.1 How Tables are Organized The tables are organized by the Act under which they are used. Each table has four headings: Filing Type; Description; Submission Type; and Appendix B Template Number. A.1.1 Filing Type The Filing Type column lists the names of the forms, rules, or schedules as they appear in the Code of Federal Regulations (CFR). A.1.2 Description The Description column explains the purpose of the form. A.1.3 Submission Type The Submission Type column lists the names of the submission types that correspond to the filing type. When you use a submission type, be sure to enter the name exactly as it is shown in this column. Use spaces, hyphens, and slashes precisely as they are shown. A.1.4 Template Number The Template column shows the template number as recognized by EDGAR. October 2002 A-1 Filer Manual Volume I APPENDIX A Submission types Accepted for Electronic Filing Table of Contents Table Page TABLE 1 Securities Act Submission types Accepted by EDGAR TABLE 2 Securities Exchange Act - Proxy Materials and Information A-3 A-10 Statements Filed Pursuant to Section 14 Submission types Accepted by EDGAR TABLE 3 Securities Exchange Act - Registration and Report Submission types A-12 Accepted by EDGAR TABLE 4 Williams Act Filing Submission types Accepted by EDGAR A-17 TABLE 5 Public Utility Holding Company Act Submission types Accepted by A-18 EDGAR TABLE 6 Investment Company Submission types Accepted by EDGAR A-20 TABLE 7 Development Banks Submission types Accepted by EDGAR A-28 (These submission types are to be used ONLY by the Development Banks.) TABLE 8 Correspondence Submission Types Filer Manual Volume I A-2 A-28 October 2002 TABLE 1. Securities Act Submission Types Accepted by EDGAR Filing Type F-1 F-1MEF F-2 F-2MEF F-3 F-3MEF F-4 October 2002 Description Registration statement for certain foreign private issuers: Initial statement Pre-effective amendments Post-effective amendments A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-1. Post-effective amendments Registration statement for certain foreign private issuers: Initial statement Pre-effective amendments Post-effective amendments Registration of securities pursuant to dividend or interest re-investment plans: Initial statement Post-effective amendments A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-2. Post-effective amendments Registration statement for specified transactions by certain foreign private issuers: Initial statement Pre-Effective amendments Post-Effective amendments Registration of securities pursuant to dividend or interest reinvestment plans Initial statement Post-effective amendments A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-3. Post-effective amendments Registration statement for securities issued by foreign private issuers in certain business combination transactions: Initial statement Pre-effective amendments Post-effective amendments A-3 Submission Type Template Number F-1 F-1/A POS AM 1 1 3 F-1MEF POS462B 1 3 F-2 F-2/A POS AM 1 1 1 F-2D F-2DPOS 1 1 F-2MEF POS462B 1 3 F-3 F-3/A POS AM 1 1 1 F-3D F-3DPOS 1 1 F-3MEF POS462B 1 3 F-4 F-4/A F-4 POS 1 1 1 Filer Manual Volume I Filing Type F-4EF F-4MEF F-6 F-7 F-8 F-9 Description Auto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions: Initial statement Pre-effective amendments Post-effective amendments Submission Type Template Number F-4 EF F-4 EF/A F-4 POS 1 1 1 F-4MEF POS462B 1 3 F-6 F-6/A POS AM 1 1 1 F-6EF F-6 POS 1 1 Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders under the Securities Act of 1933: Initial statement Pre-effective amendments Post-effective amendments F-7 F-7/A F-7 POS 1 1 1 Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933: Initial statement Pre-effective amendments Post-effective amendments F-8 F-8/A F-8 POS 1 1 1 Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933: Initial statement Auto-effective Pre-effective amendments Post-effective amendments F-9 F-9 EF F-9/A F-9 POS 1 1 1 1 A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form F-4. Post-effective amendments Registration statement for American Depositary Receipt shares that is not automatically effective upon filing: Initial statement Pre-effective amendments Post-effective amendments Filing to become effective immediately upon filing: Initial statement Post-effective amendments Filer Manual Volume I A-4 October 2002 Filing Type F-10 F-80 S-1 S-1MEF S-2 S-2MEF S-3 S-3MEF October 2002 Description Submission Type Template Number Registration statement for securities of certain Canadian issuers under the Securities Act of 1933: Initial statement Auto-effective Pre-effective amendments Post-effective amendments F-10 F-10 EF F-10/A F-10 POS 1 1 1 1 Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933: Initial statement Pre-effective amendments Post-effective amendments F-80 F-80/A F-80 POS 1 1 1 S-1 S-1/A POS AM 1 1 1 S-1MEF POS462B 1 3 S-2 S-2/A POS AM 1 1 1 S-2MEF POS462B 1 3 S-3 S-3/A POS AM 1 1 1 S-3D S-3DPOS 1 1 S-3MEF POS462B 1 3 General form of registration statement: Initial statement Pre-effective amendments Post-effective amendments A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-1. Post-effective amendments Registration of securities of certain issuers: Initial statement Pre-effective amendments Post-effective amendments A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-2. Post-effective amendments Registration statement for specified transactions by certain issuers: Initial statement Pre-effective amendments Post-effective amendments Registration of securities pursuant to dividend or interest reinvestment plans which become effective automatically upon filing: Initial statement Post-effective amendments A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-3. Post-effective amendments A-5 Filer Manual Volume I Filing Type S-4 S-4MEF S-8 S-11 S-11MEF S-20 S-B S-BMEF Description Registration of securities issued in business combination transactions Initial statement Pre-effective amendments Post-effective amendments Securities issued in connection with the formation of a bank or savings and loan holding company in compliance with General Instruction G. Initial statement Pre-effective amendments Post-effective amendments A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-4. Post-effective amendments Securities to be offered to employees pursuant to employee benefit plans Initial statement Post-effective amendments Registration statement for securities to be issued by real estate companies: Initial statement Pre-effective amendments Post-effective amendments A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form S-11. Post-effective amendments For standardized options: Initial statement Pre-effective amendments Post-effective amendments Registration statement for securities of foreign governments and subdivisions thereof under the Securities Act of 1933 (Schedule B): Initial statement Pre-effective amendments Post-effective amendments New registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-B. Initial statement Post effective amendment Filer Manual Volume I A-6 Submission Type Template Number S-4 S-4/A POS AM 1 1 1 S-4EF S-4EF/A S-4 POS 1 1 1 S-4MEF POS462B 1 3 S-8 S-8 POS 1 1 S-11 S-11/A POS AM 1 1 1 S-11MEF POS462B 1 3 S-20 S-20/A POS AM 1 1 1 S-B S-B/A POS AM 1 1 1 S-BMEF POS462B 1 3 October 2002 Filing Type SB-1 Description Optional form for the registration of securities to be sold to the public by small business issuers: Initial statement Pre-effective amendments Post-effective amendments SB-1MEF A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form SB-1. Post-effective amendments SB-2 Optional form for the registration of securities to be sold to the public by small business issuers: Initial statement Pre-effective amendments Post-effective amendments SB-2MEF A new registration statement filed under Rule 462(b) to add securities to a prior related registration statement filed on Form SB-2. Post-effective amendments POS462C Post-effective amendment to a registration statement filed under Rule 462(c). POS EX Post-effective amendment filed solely to add exhibits to a registration statement. POS AM Post-effective amendments to provide updated prospectus information. PROSPECTUSES FILED PUSUANT TO RULE 424 Filed pursuant to Rule 424(a). Filed pursuant to Rule 424(b)(1). Filed pursuant to Rule 424(b)(2). Filed pursuant to Rule 424(b)(3). Filed pursuant to Rule 424(b)(4). Filed pursuant to Rule 424(b)(5). Filed pursuant to Rule 424(b)(7). FILINGS PUSUANT TO THE TRUST INDENTURE ACT 305B2 Initial statement Pre-effective amendments T-3 Application for qualification of trust indentures: Initial statement Pre-effective amendments Submission Type Template Number SB-1 SB-1/A POS AM 1 1 1 SB-1MEF POS462B 1 3 SB-2 SB-2/A POS AM 1 1 1 SB-2MEF POS462B 1 3 POS462C 3 POS EX 3 POS AM 1 424A 424B1 424B2 424B3 424B4 424B5 424B7 3 3 3 3 3 3 3 305B2 305B2/A 3 3 T-3 T-3/A 1 1 Note: "Submission types" T-1 and T-2 are not used as stand-alone submission types on the EDGAR system. They are filed as EX-25 to registration statements. October 2002 A-7 Filer Manual Volume I Filing Type T-6 Description Application for determination of eligibility of a foreign person to act as institutional trustee filed pursuant to Section 310(a)(1) of the Trust Indenture Act of 1939: Initial statement Pre-effective amendments FILINGS PURSUANT TO RULE 144 144 Report of proposed sale of securities: Initial filing Amendments Submission Type Template Number T-6 T-6/A 1 1 144 144/A 2 2 MISCELLANEOUS FILINGS DEL AM Delaying amendment. DEL AM 3 UNDER UNDER 3 UNDER/A 3 Voluntary supplemental material filed pursuant to Section 11(a) of the Securities Act of 1933 by foreign issuers SUPPL 2 RW Registration Withdrawal Request RW 3 RW WD Withdrawal of a Registration Withdrawal Request RW WD 1 AW Amendment Withdrawal Request AW 3 AW WD Withdrawal of a Amendment Registration Withdrawal Request AW WD 1 425 Filing of certain prospectuses and communications in connection with business combination transactions. 425 2 F-X Appointment of Agent for Service of Process and Undertaking: Initial statement Amendments Notification of the appointment of an agent for service by certain foreign institutions Initial statement Amendments F-X F-X/A 2 2 F-N F-N/A 2 2 Note: Form 144 may be filed electronically on a voluntary basis if the issuer of the securities is a public company. SUPPL F-N Information pursuant to Item 4 of Form S-6. Amendment to information pursuant to Item 4 of Form S-6. Filer Manual Volume I A-8 October 2002 Special Processing of Certain Submission Types Issuers are advised that the submission types listed below will receive a "Filing Date" identical to the EDGAR "Received Date." This means that filings in the listed group, even if received after 5:30 p.m. (Eastern time) will be considered to be filed with the SEC on the actual day of receipt. Unlike most EDGAR filings, they will not receive a filing date of the next business day if received between 5:30 p.m. and 10:00 p.m. These submission types were necessitated by the rule changes adopted by the Commission effective June 7, 1995, regarding prospectus delivery issues arising from the T+3 initiative (Securities Act Release 33-7168). The following submission types will receive a filing date identical to the EDGAR "Received Date:" F-1MEF N-14MEF S-1MEF SB-1MEF F-2MEF N-2MEF S-2MEF SB-2MEF F-3MEF POS462B S-3MEF S-BMEF F-4MEF S-11MEF S-4MEF You should send any fee payment made for the above registration statements to the Commission's lockbox. Additionally, you should submit any fee payment certification that you are making for the above-listed submission types, pursuant to Rule 111(b), using the "CORRESP" submission type. October 2002 A-9 Filer Manual Volume I TABLE 2. Securities Exchange Act - Proxy Materials and Information Statements Filed Pursuant to Section 14 Submission types Accepted by EDGAR Filing Description Submission Type Type PRELIMINARY PROXY SOLICITING MATERIALS Preliminary proxy statements relating to merger or acquisition PREM14A Preliminary proxy statements - contested solicitations PREC14A Non-management preliminary proxy statements not involving contested solicitations PREN14A All other preliminary proxy statements PRE 14A PRELIMINARY INFORMATION STATEMENTS Preliminary information statements relating to merger or acquisition PREM14C Preliminary information statements -contested solicitations PREC14C All other preliminary information statements PRE 14C REVISED PRELIMINARY MATERIALS Proxy soliciting materials PRER14A Non-management revised preliminary proxy soliciting materials for both contested solicitations and other situations. PRRN14A Information statements PRER14C DEFINITIVE MATERIALS (PROXY MATERIALS) Definitive proxy statement relating to merger or acquisition DEFM14A Definitive proxy statement in connection with contested solicitations DEFC14A Definitive proxy statement filed by nonmanagement not in connection with contested solicitations DEFN14A Revised definitive proxy statement filed by nonmanagement DFRN14A Revised definitive proxy soliciting materials DEFR14A Additional definitive proxy soliciting materials and Rule 14(a)(12) material DEFA14A Additional definitive proxy soliciting materials filed by non-management and Rule 14(a)(12) material DFAN14A All other definitive proxy statements. DEF 14A Notice of exempt solicitation PX14A6G Notice of exempt solicitation pursuant to Rule 14a6(g). PX14A6N DEFINITIVE MATERIALS (INFORMATION STATEMENTS) Definitive information statement relating to merger or acquisition DEFM14C Definitive information statement - contested solicitations DEFC14C All other definitive information statements DEF 14C Filer Manual Volume I A-10 Template Number 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 October 2002 Filing Type October 2002 Description Additional information statement materials definitive Revised information statement materials definitive A-11 Submission Type Template Number DEFA14C 2 DEFR14C 2 Filer Manual Volume I Table 3. Securities Exchange Act - Registration and Report Submission types Accepted by EDGAR Filing Description Type REGISTRATION STATEMENTS 8-A Registration of certain classes of securities pursuant to section 12(b) or (g) Registration of securities pursuant to section 12(b) Initial filing Amendments Registration of securities pursuant to section 12(g) Initial filing Amendments 10 General form for registration of securities pursuant to section 12(b) or (g) Registration of securities pursuant to section 12(b) Initial filing Amendments Registration of securities pursuant to section 12(g) Initial filing Amendments 10-SB Registration of securities for small business issuers pursuant to section 12(b) Initial filing Amendments Registration of securities for small business pursuant to section 12(g) Initial filing Amendments 20-F Registration of securities of foreign private issuers pursuant to section 12(b) or (g) Registration of securities pursuant to section 12(b) Initial filing Amendments Registration of securities pursuant to section 12(g) Initial filing Amendments 40-F Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act: Initial filing Amendments Filer Manual Volume I A-12 Submission Type Template Number 8-A12B 8-A12B/A 3 3 8-A12G 8-A12G/A 3 3 10-12B 10-12B/A 3 3 10-12G 10-12G/A 3 3 10SB12B 10SB12B/A 3 3 10SB12G 10SB12G/A 3 3 20FR12B 20FR12B/A 3 3 20FR12G 20FR12G/A 3 3 40FR12B 40FR12B/A 3 3 October 2002 Filing Type Description Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act: Initial filing Amendments 18 Registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(b) or 12(g) Registration of securities pursuant to section 12(b) Initial filing Amendments Registration of securities pursuant to section 12(g) Initial filing Amendments ANNUAL, QUARTERLY, AND PERIODIC REPORTS ARS Annual Report to Security Holders Amendments Submission Type Template Number 40FR12G 40FR12G/A 3 3 18-12B 18-12B/A 3 3 18-12G 18-12G/A 3 3 ARS ARS/A 3 3 6-K 6-K/A 3 3 10-Q 10-Q/A 3 3 10-QT 10-QT/A 3 3 Note: Use this submission type when furnishing the annual report to security holders for the information of the Commission pursuant to Rule 14a-3(c) or Rule 14c3(b). Portions of the annual report to security holders filed with the Commission as part of a registration statement or periodic report should be filed as Exhibit 13, as provided by Item 601 of Regulation S-K and S-B. See Appendix C for proper tagging of Exhibit 13. 6-K 10-Q October 2002 Report of foreign issuer pursuant to Rules 13a16 and 15d-16 Initial filing Amendments Quarterly report filed pursuant to sections 13 or 15(d) Initial filing Amendments Transition reports pursuant to rule 13a-10 or 15d-10 Initial filing Amendments A-13 Filer Manual Volume I Filing Type 10-QSB 10-K 10KSB 8K 8-K12B 11-K 18-K Description Optional form for quarterly and transition reports of small business issuers under section 13 or 15(d) Initial filing Amendments Annual report pursuant to section 13 and 15(d) Initial filing Amendments Transition reports pursuant to rule 13a-10 or 15d-10 Initial filing Amendments Optional form for annual and transition reports of small business issuers under section 13 or 15(d) Initial filing Amendments Current report Initial filing Amendments Notification of securities of successor issuers deemed to registered pursuant to section 12 Initial filing Amendments Notification of assumption of duty to report by successor issue under section 15(d) Initial filing Amendments Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(b): Initial Filing Amendments Annual report of employee stock purchase, savings and similar plans Initial filing Amendments Transition report pursuant to rule 13a-10 or 15d10 Initial filing Amendments Annual report for foreign governments and political subdivisions Initial filing Amendments Filer Manual Volume I A-14 Submission Type Template Number 10QSB 10QSB/A 3 3 10-K 10-K/A 3 3 10-KT 10-KT/A 3 3 10KSB 10KSB/A 3 3 8-K 8-K/A 3 3 8-K12G3 8-K12G3/A 3 3 8-K15D5 8-K15D5/A 3 3 8-K12B 8-K12B/A 3 3 11-K 11-K/A 3 3 11-KT 11-KT/A 3 3 18-K 18-K/A 3 3 October 2002 Filing Type 20-F 40-F 12b-25 15 See Rule 15d-2 October 2002 Description Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d) Initial filing Amendments Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4: Initial filing Amendments Notification of inability to timely file: Form 10-Q or 10-QSB Initial filing Amendments Form 10-K, 10-KSB, or 10-KT Initial filing Amendments Form 11-K Initial filing Amendments Special report pursuant to section 15d-2 Initial filing Amendments Form 20-F Initial filing Amendments Certification of termination of registration of a class of security under Section 12(g) or notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act Section 12(b) Initial Filing Amendments Section 12(g) Initial Filing Amendments Section 13 and 15(d) Initial Filing Amendments Special Financial Report pursuant to Rule 15d-2 Initial filing Amendments A-15 Submission Type Template Number 20-F 20-F/A 3 3 40-F 40-F/A 3 3 NT 10-Q NT 10-Q/A 3 3 NT 10-K NT 10-K/A 3 3 NT 11-K NT 11-K/A 3 3 NT 15D2 NT 15D2/A 3 3 NT 20-F NT 20-F/A 3 3 15-12B 15-12B/A 3 3 15-12G 15-12G/A 3 3 15-15D 15-15D/A 3 3 SP 15D2 SP 15D2/A 3 3 Filer Manual Volume I Filing Description Type MISCELLANEOUS SUBMISSION TYPES/FILINGS Form 13F Quarterly reports filed by institutional managers 13F Holdings Report Initial filing Amendments 13F Notice Report Initial filing Amendments 13F Combination Report Initial filing Amendments Form RW Request for Withdrawal of a registration statement Withdrawal of a registration withdrawal statement Form AW Amendment Withdrawal of an amendment to a registration statement Withdrawal of a amendment registration withdrawal statement Form 425 Filing of certain prospectuses and communications in connection with business combination transactions. Form 25 Notification filed by National Securities Exchange to report the removal from listing and registration of matured, redeemed or retired securities: Initial Filing Amendments SECTION 16 OWNERSHIP SUBMISSION TYPES/FILINGS Form 3 Initial statement of beneficial ownership of securities Initial filing Amendments Form 4 Statement of changes in beneficial ownership of securities Initial filing Amendments Form 5 Annual statement of changes in beneficial ownership of securities Initial filing Amendments Submission Type Template Number 13F-HR 13F-HR/A 3 3 13F-NT 13F-NT/A 3 3 13F-HR 13F-HR/A 3 3 RW 3 RW WD 1 AW 3 AW WD 1 425 2 25 25/A 3 3 3 3/A 2 2 4 4/A 2 2 5 5/A 2 2 Note: You can file Forms 3, 4, and 5 electronically on a voluntary basis. Filer Manual Volume I A-16 October 2002 TABLE 4. Williams Act Filing Submission Types Accepted by EDGAR Filing Type Schedule 13D n/a Schedule 13E-3 Schedule 13E4F Schedule 13G Schedule TO-I Schedule TO-T Schedule TO-C Schedule 14D1F Schedule 14D9-C Schedule 14D9 Schedule 14D9F n/a October 2002 Description General statement of acquisition of beneficial ownership Initial statement Amendments Statement of issuer required by Rule 13e-1 Initial statement Amendments Going private transaction by certain issuers Initial statement Amendments Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers: Initial statement Amendments Statement of acquisition of beneficial ownership by certain persons Initial statement Amendments Tender offer statement by Issuer Initial statement Amendments Tender offer statement by Third Party Initial statement Amendments Written communication relating to an issuer or third party Tender offer statement pursuant to rule 14d-1(b) under Securities Exchange Act of 1934: Initial statement Amendments Written communication by the subject company relating to a third party tender offer Solicitation/recommendation statements Initial statement Amendments Solicitation/recommendation statement pursuant to Section 14(d)(4) of the Securities Exchange Act of 1934 and Rules 14d-1(b) and 14e-2(c) by foreign issuers: Initial statement Amendments Statement regarding change in majority of directors pursuant to Rule 14f-1 Initial statement Amendments A-17 Submission Type Template Number SC 13D SC 13D/A 2 2 SC 13E1 SC 13E1/A 2 2 SC 13E3 SC 13E3/A 2 2 SC13E4F SC13E4F/A 2 2 SC 13G SC 13G/A 2 2 SC TO-I SC TO-I/A 2 2 SC TO-T SC TO-T/A 2 2 SC TO-C 2 SC14D1F SC14D1F/A 2 2 SC14D9C 2 SC 14D9 SC 14D9/A 2 2 SC14D9F SC14D9F/A 2 2 SC 14F1 SC 14F1/A 2 2 Filer Manual Volume I Filing Type CB Description Notification form filed in connection with certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons Initial statement Amendments Submission Type Template Number CB CB/A 2 2 TABLE 5. Public Utility Holding Company Act Submission Types Accepted by EDGAR Filing Type Form U-1 Form U-13-1 Form U-3A3-1 Form U7D Rule U-R1 Rule 45B3 Rule 35-APP Rule 35-CERT Description Application or declaration under the act Initial filing Pre-effective amendments Post-effective amendments Application for approval of mutual service company filed pursuant to Rule 88 Initial filing Amendments Twelve-month statement by bank claiming exemption from provisions of the act pursuant to Rule 3 Initial statement Amendments Certificate concerning lease of a utility facility filed pursuant to Rule 7(d) Initial filing Amendments Declaration as to solicitations filed pursuant to Rule 62 Initial filing Amendments Transitional statement concerning extensions of credit filed pursuant to Rule 45(b)(3) Initial statement Amendments Statement concerning proposed transaction for which no form of application is prescribed filed pursuant to Rule 20(e) Initial statement Amendments Certificate concerning terms and conditions filed pursuant to Rule 24 Initial filing Amendments Filer Manual Volume I A-18 Submission Type Template Number U-1 U-1/A POS AMC 3 3 3 U-13-1 U-13-1/A 3 3 U-3A3-1 U-3A3-1/A 3 3 U-7D U-7D/A 2 2 U-R-1 U-R-1/A 3 3 45B-3 45B-3/A 2 2 35-APP 35-APP/A 3 3 35-CERT 35-CERT/A 3 3 October 2002 Filing Type Rule U-13-60 Description Annual report for mutual and subsidiary service companies filed pursuant to Rule 94 Initial filing Amendments Form Statement by holding company claiming U-3A-2 exemption from provisions of the act pursuant to Rule 2 Initial statement Amendments Form Certificate of notification of security issue, U-6B-2 renewal or guaranty filed pursuant to Rule 20(d) Initial filing Amendments Form U5A Notification of registration filed under section 5(a) of the act Initial filing Amendments Form U5B Registration statement filed under section 5 of the act Initial statement Amendments Form U5S Annual report for holding companies registered pursuant to section 5 of the act Initial filing Amendments Form Quarterly report concerning energy and gasU-9C-3 related companies pursuant to Rule 58 of the Act Initial filing Amendments Form Statement pursuant to section 12(i) of the Act by U-12-IA person employed or retained by a registered holding company or a subsidiary thereof Initial statement Amendments Form Three-year statement pursuant to section 12(i) of U-12-IB the Act by person regularly employed or retained by a registered holding company or a subsidiary thereof Initial statement Amendments Form Report by affiliate service companies or U-13E-l independent service companies filed pursuant to Rule 95 Initial filing Amendments Form Annual report Concerning Foreign Utility U-33-S Companies pursuant to Section 33(e) of the Act Initial filing Amendments October 2002 A-19 Submission Type Template Number U-13-60 U-13-60/A 3 3 U-3A-2 U-3A-2/A 3 3 U-6B-2 U-6B-2/A 3 3 U5A U5A/A 3 3 U5B U5B/A 3 3 U5S U5S/A 3 3 U-9C-3 U-9C-3/A 3 3 U-12-IA U-12-IA/A 2 2 U-12-IB U-12-IB/A 2 2 U-13E-l U-13E-l/A 2 2 U-33-S U-33-S/A 3 3 Filer Manual Volume I Filing Type Form U57 Description Notification of Foreign Utility Company Status under Section 33(a)(2) of the Act Initial filing Amendments Submission Type Template Number U-57 U-57/A 2 2 TABLE 6. Investment Company Submission types Accepted by EDGAR Filing Type Forms S-1 & S-3 Description Registration statement for face-amount certificate companies Initial statement (Form S-1) Pre-effective amendments (Form S-1) Initial statement (Form S-3) Pre-effective amendments (Form S-3) Post-effective amendments (Submission types S1 and S-3) Definitive materials Certification of no change in definitive materials Forms N-1 Registration statement for open-end management & N-1A investment companies Initial statement (Form N-1A) Pre-effective amendments (Form N-1A) Initial statement (Form N-1) Pre-effective amendments (Form N-1) Post-effective amendments Filed pursuant to Rule 485(a) Filed pursuant to Rule 485(b) Filing submitted under the 1940 Act only Filed pursuant to Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) Definitive materials Certification of no change in definitive materials Rule 498 Profiles for certain open-end management investment companies Filed pursuant to Rule 497(k)(1)(i) Filed pursuant to Rule 497(k)(1)(ii) Filed pursuant to Rule 497(k)(1)(iii)(A) Filed pursuant to Rule 497(k)(1)(iii)(B) Form N-2 Registration statement for closed-end investment companies Initial statement Pre-effective amendments Post-effective amendments Filed under the 1940 Act only Filer Manual Volume I A-20 Submission Type Template Number S-1 S-1/A S-3 S-3/A 1 1 1 1 POS AM 497 497J 3 3 3 N-1A N-1A/A N-1 N-1/A 1 1 1 1 485APOS 485BPOS POS AMI 3 3 3 485BXT 497 497J 3 3 3 497K1 497K2 497K3A 497K3B 3 3 3 3 N-2 N-2/A 1 1 POS AMI 3 October 2002 Filing Type Description Filed under the 1933 Act only or under both the 1933 and 1940 Acts pursuant to Section 8(c) of the 1933 Act: Pursuant to Rule 486(a) Initial statement Post-effective amendment Pursuant to Rule 486(b) Initial statement Post-effective amendment Definitive materials Certification of no change in definitive materials Registration pursuant to Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on Form N-2 Post-effective amendment to Securities Act Rule 462(b) registration statement Post-effective amendment to Securities Act Rule 462(c) registration statement Post-effective amendment filed pursuant to Rule 462(d) solely to add exhibits to a registration statement. Definitive materials Filings made pursuant to Rule 497(h)(2) Submission Type Template Number POS 8C 3 N-2 486APOS 1 3 N-2 486BPOS 497 497J 1 3 3 3 N-2MEF 1 POS462B 3 POS462C 3 POS EX 497 497H2 3 3 3 Special Processing of Certain Submission Types Issuers are advised that the submission types listed below will receive a "Filing Date" identical to the EDGAR "Received Date." This means the following submission types, even if received after 5:30 p.m. (Eastern time), will be considered as filed with the SEC on the actual day of receipt. Unlike most EDGAR filings, they will not receive a filing date of the next business day if received between 5:30 p.m. and 10:00 p.m. These submission types were necessitated by the rule changes adopted by the Commission effective June 7, 1995, regarding prospectus delivery issues arising from the T-3 initiative (Securities Act Release 33-7168). The following submission types will receive a filing date identical to the EDGAR "Received Date": N-2MEF N-14MEF POS462B Any fee payment made for the above registration statements should be paid to the Commission's lockbox. Additionally, any fee payment certification that is being made for the above listed submission types, pursuant to Rule 111(b), should be submitted using the "CORRESP" form. October 2002 A-21 Filer Manual Volume I TABLE 6. Investment Company Submission types Accepted by EDGAR (Continued) Filing Type Form N-3 Form N-4 Description Registration statement for separate accounts (management investment companies) Initial statement Pre-effective amendments Post-effective amendments Filed pursuant to Rule 485(a) Filed pursuant to Rule 485(b) Filed pursuant to Rule 8b-16 of the 1940 Act (for filings made under the 1940 Act only) Filed pursuant to Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) Definitive materials Certification of no change in definitive materials Registration statement for separate accounts (unit investment trusts) Initial statement Pre-effective amendments Pre-effective pricing amendments filed pursuant to Rule 487 Post-effective amendments Filed pursuant to Rule 485(a) Filed pursuant to Rule 485(b) Filed pursuant to Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) Filed pursuant to Rule 8b-16 of the 1940 Act (for filings made under the 1940 Act only) Definitive materials Certification of no change in definitive materials Filer Manual Volume I A-22 Submission Type Template Number N-3 N-3/A 1 1 485APOS 485BPOS 3 3 POS AMI 3 485BXT 497 497J 3 3 3 N-4 N-4/A 1 1 487 1 485APOS 485BPOS 3 3 485BXT 3 POS AMI 497 497J 3 3 3 October 2002 Filing Type Form N-6 Form S-6 October 2002 Description Submission Type Template Number Registration statement for separate accounts (unit investment trusts) Initial statement Pre-effective amendments N-6 N-6/A 1 1 Pre-effective pricing amendments filed pursuant to Rule 487 487 1 485APOS 485BPOS 3 3 485BXT 3 POS AMI 497 497J 3 3 3 S-6 S-6/A 1 1 487 1 UNDER UNDER/A 3 3 485APOS 485BPOS 3 3 485BXT 497 497J 3 3 3 Post-effective amendments Filed pursuant to Rule 485 (a) Filed pursuant to Rule 485 (b) Filed pursuant to Rule 485 (b) (1) (v) to designate a new effective date for a posteffective amendment previously filed pursuant to Rule 485 (a) (This filing cannot be submitted as a 1940 Actonly filing) Filed pursuant to Rule 8b-16 of the 1940 Act (for filings made under the 1940 Act only) Definitive materials Certification of no change in definitive materials Registration statement for unit investment trusts Initial statement Pre-effective amendments Pre-effective pricing amendments filed pursuant to Rule 487 Undertaking to file reports Initial filing Amendments Post-effective amendments Filed pursuant to Rule 485(a) Filed pursuant to Rule 485(b) Filed pursuant to Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Rule 485(a) (This filing cannot be submitted as a 1940 Act only filing.) Definitive materials Certification of no change in definitive materials A-23 Filer Manual Volume I Filing Type Form N-5 Description Submission Type Registration statement for small business investment companies Initial statement N-5 Pre-effective amendments N-5/A Post-effective amendments (for filings made under the1940 Act only) POS AMI Post-effective amendments filed by certain investment companies pursuant to Section 8(c) of the 1933 Act (this filing cannot be submitted as a 1940 Act only filing) POS 8C Definitive materials 497 Certification of no change in definitive materials 497J Form NRegistration statement for open-end investment 14 company (business combinations) Initial statement N-14 Pre-effective amendments N-14/A Initial statement with automatic effectiveness under Rule 488 N-14AE Pre-effective amendments N-14AE/A Post-effective amendments Filed pursuant to Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) 485APOS Filed pursuant to Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing) 485BPOS Registration statement for closed-end investment company (business combinations) Initial statement N-14 8C Pre-effective amendments N-14 8C/A Post-effective amendments POS 8C Definitive materials 497 Certification of no change in definitive materials 497J Registration pursuant to Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on Form N-14 N-14MEF Post-effective amendment to Securities Act Rule 462(b) registration statement POS462B Post-effective amendment to Securities Act Rule 462(c) registration statement POS462C Definitive materials 497 MISCELLANEOUS FILINGS UNDER THE SECURITIES ACT Rule 425 Filing of certain prospectuses and communications in connection with business combination transactions 425 Rule 473 Filing of certain delaying amendments to Securities Act registration statements DEL AM Filer Manual Volume I A-24 Template Number 1 1 3 3 3 3 1 1 1 1 3 3 1 1 3 3 3 1 3 3 3 2 3 October 2002 Filing Type Rule 477 Description Submission Type Template Number Withdrawal of registration statement filed under the Securities Act RW 3 Withdrawal of registration statement withdrawal request RW WD 1 Withdrawal of amendment to registration statement filed under the Securities Act AW 3 Withdrawal of registration statement amendment withdrawal request AW WD 1 Rule 482 Filing by certain investment companies of Rule 482 advertising in accordance with Rule 497 and the NOTE to Rule 482(c) 497AD 3 REGISTRATION OF SECURITIES BY CERTAIN INVESTMENT COMPANIES PURSUANT TO RULE 24F-2. Rule 24F- Rule 24F-2 notice 24F-2NT 1 2 Amendment to Rule 24F-2 notice 24F-2NT /A 1 OTHER COMPANY ACT REGISTRATION STATEMENTS Form NNotification of registration under section 8(a) 8A Initial filing N-8A 2 Amendments N-8A/A 2 Form Registration statement for unit investment trusts N-8B-2 Initial filing N-8B-2 2 Amendments N-8B-2/A 2 Form Registration statement for periodic payment N-8B-3 Plans Initial N-8B-3 2 Amendments N-8B-3/A 2 Form Registration statement for face-amount N-8B-4 certificate companies Initial N-8B-4 2 Amendments N-8B-4/A 2 SUBMISSION TYPES FOR BUSINESS DEVELOPMENT COMPANIES Form NNotice of intent by business development 6F companies electing to be subject to Sections 55 through 65 of the 1940 Act Initial filing N-6F 2 Amendments N-6F/A 2 Form NNotification of election by business development 54A companies Initial filing N-54A 2 Amendments N-54A/A 2 Form NNotification of withdrawal by business 54C development companies N-54C 2 Amendments N-54C/A 2 October 2002 A-25 Filer Manual Volume I Filing Description Type OTHER INVESTMENT COMPANY SUBMISSION TYPES Rule 8bFiling by investment company of application 25(a) requesting extension of time for filing certain information, document or report. Form Certificate of accounting of securities and similar 17F-1 investments in the custody of management investment companies filed pursuant to Rule 17f-1 Initial filing Amendments Form Certificate of accounting of securities and similar 17F-2 investments in the custody of management investment companies filed pursuant to Rule 17f-2 Initial filing Amendments Form NNotification of election pursuant to Rule 18f-1 18F-1 Initial filing Amendments Form NReports by closed-end investment companies of 23C-1 purchase of their own securities Initial filing Amendments Rule Notice by closed-end investment companies of 23c-2(b) intention to call or redeem their own securities Initial filing Amendments Form NNotification of periodic repurchase offer Filed 23C-3 pursuant to Rule 23c-3(b) only Initial filing Amendments Filed pursuant to Rule 23c-3(c) only Initial filing Amendments Filed pursuant to Rule 23c-3(b) and (c) Initial filing Amendments Form NAccounting for segregated trust accounts 27D-1 Initial filing Amendments Filer Manual Volume I A-26 Submission Type Template Number 40-8B25 2 40-17F1 40-17F1/A 2 2 40-17F2 40-17F2/A 2 2 N-18F1 N-18F1/A 2 2 N-23C-1 N-23C-1/A 2 2 N-23C-2 N-23C-2/A 2 2 N-23C3A N-23C3A/A 2 2 N-23C3B N-23C3B/A 2 2 N-23C3C N-23C3C/A 2 2 N-27D-1 N-27D-1/A 2 2 October 2002 Filing Description Submission Type Type PERIODIC REPORTS FOR REGISTERED INVESTMENT COMPANIES Form NSemi-annual report for management companies NSAR-A SAR Amendments to semi-annual report NSAR-A/A Transitional semi-annual report NSAR-AT NSARAmendments to transitional semi-annual report AT/A Annual report for management companies NSAR-B Amendments to annual report NSAR-B/A Transitional annual report NSAR-BT NSARAmendments to transitional annual report BT/A Annual report for unit investment trusts NSAR-U Amendments to annual report for unit investment trusts NSAR-U/A Rule 12b- Notification of inability to timely file Form 25 N-SAR Initial Filing NT-NSAR Template Number 3 3 3 3 3 3 3 3 3 3 3 NTNSAR/A Amendments 3 Annual and semi-annual reports mailed to shareholders pursuant to Rule 30e-1 N-30D 3 Amendments N-30D/A 3 Periodic and interim reports mailed to shareholders (other than annual and semi-annual reports mailed to shareholders pursuant to Rule 30e-1) N-30B-2 3 APPLICATION FOR DEREGISTRATION OF INVESTMENT COMPANIES Form NApplication for deregistration 8F Under paragraph (a) of Instruction 1 of Form N8F (Merger) Initial application 40-8F-M 2 Amendments 40-8F-M/A 2 Under paragraph (b) of Instruction 1 of Form N8F (Liquidation) Initial application 40-8F-L 2 Amendments 40-8F-L/A 2 Under paragraph (c) of Instruction 1 of Form N8F (Abandonment of Registration) Initial application 40-8F-A 2 Amendments 40-8F-A/A 2 Under paragraph (d) of Instruction 1 of Form N8F (Business Development Company) Initial application 40-8F-B 2 Amendments 40-8F-B/A 2 Rule 0-2 Application for deregistration Pursuant to Rule 0-2 Initial application 40-8F-2 2 Amendments 40-8F-2/A 2 Rule 30b2-1 October 2002 A-27 Filer Manual Volume I TABLE 7. Development Bank Submission Types Accepted by EDGAR Filing Type QRTLYRPT Description Submission Type Template Number Submission Type CORRESP Template Number 4 Periodic Development Bank filing, submitted quarterly: Initial filing QRTLYRPT 2 Amendments QRTLYRPT/A 2 ANNLRPT Periodic Development Bank filing, submitted annually: Initial filing ANNLRPT 2 Amendments ANNLRPT/A 2 DSTRBRPT Distribution of primary obligations Development Bank report: Initial filing DSTRBRPT 2 Amendments DSTRBRPT/A 2 Notes: (1) These submission types are to be filed ONLY by the Development Banks. (2) BW-2 and BW-3 submission types have been rescinded; please use QRTLYRPT, ANNLRPT, and DSTRBRPT Form Types. TABLE 8. Correspondence Submission Types Filing Type Correspondence Filer Manual Volume I Description A correspondence can be sent as a document with another submission type or can be sent as a separate submission. Correspondence is not publicly disseminated. A-28 October 2002 APPENDIX B A. EDGAR Submission Templates B.1 Introduction This appendix lists all electronic submission types supported by the SEC and EDGAR. See Appendix A for more information about EDGAR electronic submission types. A submission type may be downloaded as part of a submission types template. You can click on the appropriate template in order to download that template. Each template supports various submission types with similar data field requirements. This appendix identifies the EDGAR templates you must use in order to obtain the submission type you need. Currently there are six templates that support the entire set of electronic submission types. B.2 How This Appendix is Organized Data fields are categorized by the following codes: Code: 1 2 3 4 5 Status: Required Required when applicable At least one required (from a group of four options) Optional Required and to be only used for confirming copies (i.e., for electronic submissions which are copies of official filings made in paper under a hardship exemption) These category numbers are represented in bold and placed before each data field listed for each particular submission type in this Appendix. B.2.1 Data Fields Required for all Submission Types You must enter appropriate data in the following data fields in all submission types: TYPE SROS FILER CIK CCC [VALUE] [VALUE] [VALUE] [VALUE] You should mark the CONFIRMING-COPY field only if you want to submit an electronic copy of an official filing which you previously made in paper pursuant to a hardship exemption. You are required to enter data in the SROS field except where noted in the examples shown in this appendix. Although the SROS field is generally required, note that "None" is an allowable value. See Appendix C for a complete listing of allowable SROS values. October 2002 A-1 Filer Manual Volume I B.2.1.1 24F-2NT F-1 F-10EF F-2/A F-3 F-3MEF F-4EF F-6 POS F-7 POS F-8/A F-9 N-1 N-14 8C/A N-14MEF N-2/A N-4 N-6 S-1 S-11MEF S-20 S-3/A S-4 S-4EF/A S-8 S-BMEF SB-2 T-3/A Submission Types Found in Template 1 24F-2NT/A F-1/A F-10POS F-2D F-3/A F-4 F-4EF/A F-6/A F-7/A F-80 F-9 POS N-1/A N-14/A N-1A N-2MEF N-4/A N-6/A S-1/A S-1MEF S-20/A S-3D S-4 POS S-4MEF S-8 POS SB-1 SB-2/A T-6 487 F-10 F-1MEF F-2DPOS F-3D F-4 POS F-4MEF F-6EF F-8 F-80/A F-9/A N-14 N-14AE N-1A/A N-3 N-5 POS AM S-11 S-2 S-2MEF S-3DPOS S-4/A S-6 S-B SB-1/A SB-2MEF T-6/A AW WD F-10/A F-2 F-2MEF F-3DPOS F-4/A F-6 F-7 F-8 POS F-80POS F-9EF N-14 8C N-14AE/A N-2 N-3/A N-5/A RW WD S-11/A S-2/A S-3 S-3MEF S-4EF S-6/A S-B/A SB-1MEF T-3 Examples of Template 1 Submission Types Main Page Information Example 1 Submission Types N-1 N-1A N-3 N-4 N-6 Code 1 1 4 4 4 1 1 1 5 2 1 2 Data Fields TYPE SROS SUBMISSION-CONTACT NAME PHONE FILER CIK CCC FILE-NUMBER DELAYING-AMENDMENT ACT REFERENCES-429 October 2002 Value Format N-1A NONE N-1A Up to 4 characters A. Jones 202-555-1111 Up to 30 characters Up to 20 characters 123456 x21234@1 333-00000 Up to 10 digits 8 characters Up to 17 characters 33 40 33-00000 2 digits for each Act specified Up to 17 characters A-3 Filer Manual Volume I Examples of Template 1 Submission Types Main Page Information Example 2 Submission Types F-6EF T-3 Code 1 1 4 4 4 1 1 1 5 4 Data Fields TYPE SROS SUBMISSION-CONTACT NAME PHONE FILER CIK CCC FILE-NUMBER EFFECTIVENESS-DATE Value Format F-6EF AMEX F-6EF Up to 4 characters A. Jones 202-555-1111 Up to 30 characters Up to 20 characters 123456 x21234@1 000-00000 12/12/1996 Up to 10 digits 8 characters Up to 17 characters Up to 20 characters B.2.1.2 Submission Types Found in Template 2 144 4 40-17F2 40-8F-2/A 40-8F-B/A 40-8F-M/A 5 BW-2* DEF 14A DEFC14A DEFN14A DFRN14A F-N/A N-18F1/A N-23C-2/A N-23C3B/A N-27D-1/A N-54C/A N-8A/A N-8B-3/A PRE 14C PREM14C PRRN14A QRTLYRPT/A SC 13E1/A SC 13E4F/A SC 14D1F/A SC 14D9F SC TO-C SC TO-T/A U-12-IB U-57 144/A 4/A 40-17F2/A 40-8F-A 40-8F-L 425 5/A BW-3* DEF 14C DEFC14C DEFR14A DSTBRPT F-X N-23C-1 N-23C3A N-23C3C N-54A N-6F N-8B-2 N-8B-4 PREC14A PREN14A PX14A6G SC 13D SC 13E3 SC 13G SC 14D9 SC 14D9F/A SC TO-I SUPPL U-12-IB/A U-57/A 3 40-17F1 40-8B25 40-8F-A/A 40-8F-L/A 45B-3 ANNLRPT CB DEFA14A DEFM14A DEFR14C DSTBRPT/A F-X/A N-23C-1/A N-23C3A/A N-23C3C/A N-54A/A N-6F/A N-8B-2/A N-8B-4/A PREC14C PRER14A PX14A6N SC 13D/A SC 13E3/A SC 13G/A SC 14D9/A SC 14F1 SC TO-I/A U-12-IA U-13E-1 U-7D 3/A 40-17F1/A 40-8F-2 40-8F-B 40-8F-M 45B-3/A ANNLRPT/A CB/A DEFA14C DEFM14C DFAN14A F-N N-18F1 N-23C-2 N-23C3B N-27D-1 N-54C N-8A N-8B-3 PRE 14A PREM14A PRER14C QRTLYRPT SC 13E1 SC 13E4F SC 14D1F SC 14D9C SC 14F1/A SC TO-T U-12-IA/A U-13E-1/A U-7D/A * These form types are being rescinded; please use QRTLYRPT, ANNLRPT, and DSTBRPT Form Types. October 2002 A-5 Filer Manual Volume I Examples of Template 2 Submission Types Main Page Information Example 1 Submission Types U-13E-1 U-13E-1/A Code Data Fields Value Format 1 1 4 4 4 1 1 1 1 1 TYPE SROS SUBMISSION-CONTACT NAME PHONE FILER CIK CCC SUBJECT-COMPANY NAME U- 13E1/A AMEX See List Above Up to 4 characters A. Jones 202-555-1111 Up to 30 characters Up to 20 characters 123456 x21234@1 Up to 10 digits 8 characters Up to 60 characters 1 1 5 CIK IRS-NUMBER FILE-NUMBER ABC COMPANY 654321 22-7777777 333-00000 Up to 10 digits 9 digits + hyphen Up to 17 characters Examples of Template 2 Submission Types Page 1 Information Example 2 Submission Types SC TO-I SC TO-I/A SC TO-T SC TO-T/A Code 1 1 4 4 4 1 1 1 1 1 1 1 5 2 Data Fields TYPE SROS SUBMISSION-CONTACT NAME PHONE FILER CIK CCC SUBJECT-COMPANY NAME CIK IRS-NUMBER FILE-NUMBER GROUP-MEMBERS October 2002 Value Format SC TO-T AMEX See List Above Up to 4 characters A. Jones 202-555-1111 Up to 30 characters Up to 20 characters 123456 x21234@1 Up to 10 digits 8 characters ABC COMPANY 654321 22-7777777 000-00000 Up to 60 characters Up to 10 digits 9 digits + hyphen Up to 17 characters Up to 60 characters A-7 Filer Manual Volume I B.2.1.3 10-12B 10-K 10-KT 10QSB 10SB12B 11-K 13F-HR 15-12B 15-15D 18-12G 20-F 20FR12G 305B2 35-CERT 40FR12B 424A 424B4 485APOS 486BPOS 497J 497K3B 8-A12B/A 8-K/A 8-K12G3/A ARS/A N-30D NSAR-AT NSAR-BT NT 10-K NT 11-K NT 20-F POS 8C POS462B SP 15D2/A U-13-1/A U-33-S/A U-3A3-1/A U5B/A U-6B-2/A UNDER/A Submission Types Found in Template 3 10-12B/A 10-K/A 10-KT/A 10QSB/A 10SB12B/A 11-K/A 13F-HR/A 15-12B/A 15-15D/A 18-12G/A 20-F/A 20FR12G/A 305B2/A 35-CERT/A 40FR12B/A 424B1 424B5 485BPOS 497 497K1 6-K 8-A12G 8-K12B 8-K15D5 AW N-30D/A NSAR-AT/A NSAR-BT/A NT 10-K/A NT 11-K/A NT 20-F/A POS AMC POS462C U-1 U-13-60 U-3A-2 U5A U5S U-9C-3 U-R-1 10-12G 10KSB 10-Q 10-QT 10SB12G 11-KT 13F-NT 15-12G 18-12B 18-K 20FR12B 25 35-APP 40-F 40FR12G 424B2 424B7 485BXT 497AD 497K2 6-K/A 8-A12G/A 8-K12B/A 8-K15D5/A DEL AM NSAR-A NSAR-B NSAR-U NT 10-Q NT 15D2 NT-NSAR POS AMI RW U-1/A U-13-60/A U-3A-2/A U5A/A U5S/A U-9C-3/A U-R-1/A 10-12G/A 10KSB/A 10-Q/A 10-QT/A 10SB12G/A 11-KT/A 13F-NT/A 15-12G/A 18-12B/A 18-K/A 20FR12B/A 25/A 35-APP/A 40-F/A 40FR12G/A 424B3 425 486APOS 497H2 497K3A 8-A12B 8-K 8-K12G3 ARS N-30B-2 NSAR-A/A NSAR-B/A NSAR-U/A NT 10-Q/A NT 15D2/A NT-NSAR/A POS EX SP 15D2 U-13-1 U-33-S U-3A3-1 U5B U-6B-2 UNDER Examples of Template 3 Submission Types Main Page Information Example 1 Submission Types 10-12B 10-12G 10SB12B 10SB12G 18-12B 18-12G 20FR12B 35-APP 8-A12B 8-A12G U-1 U-13-1 U-3A3-1 U-3A3-1/A Code 1 1 4 4 4 1 1 1 5 Data Fields TYPE SROS SUBMISSION-CONTACT NAME PHONE FILER CIK CCC FILE-NUMBER October 2002 Value Format 8-A12B AMEX See List Above Up to 4 characters A. Jones 202-555-1111 Up to 30 characters Up to 20 characters 123456 x21234@1 000-00000 Up to 10 digits 8 characters Up to 17 characters A-9 Filer Manual Volume I Examples of Template 3 Submission Types Main Page Information Example 2 Submission Types 10-KT 10-KT/A 10-QT 10-QT/A 11-KT 11-KT/A Code 1 1 4 4 4 1 1 1 1 1 Data Fields TYPE SROS SUBMISSION-CONTACT NAME PHONE FILER CIK CCC FILE-NUMBER PERIOD Value Format 10-KT AMEX See List Above Up to 4 characters A. Jones 202-555-1111 Up to 30 characters Up to 20 characters 123456 x21234@1 333-00000 12/12/1996 Up to 10 digits 8 characters Up to 17 characters Up to 20 characters See Chapter 3, for format. B.2.1.4 Example of Template 4 Submission Types Page 1 Information Example 1 Submission Types CORRESP Code 1 4 4 4 1 1 1 Data Fields TYPE SUBMISSION-CONTACT NAME PHONE FILER CIK CCC October 2002 Value Format CORRESP See List Above A. Jones 202-555-1111 Up to 30 characters Up to 20 characters 1234567890 x21234@1 Up to 10 digits 8 characters A-11 Filer Manual Volume I B.2.1.5 Example of Template 5 Submission Types Page 1 Information Example 1 Submission Types MODULE SEGMENT Code 1 4 4 4 1 1 1 Data Fields TYPE SUBMISSION-CONTACT NAME PHONE FILER CIK CCC Value Format Module See List Above A. Jones 202-555-1111 Up to 30 characters Up to 20 characters 1234567890 x21234@1 Up to 10 digits 8 characters B.2.1.6 Template 6 BULK Submission Type Main Page Information Bulk submissions are prepared regular submission types (Templates 1-5) that are grouped together for ease of transmission. Once transmission is completed, the submissions are separated and processed in the same way as single submissions. After accessing the Bulk Submission Template, step through the dialogue boxes to add the desired submissions to the template. The template displays the names of all added filenames and the document count. A field is also provided for additional description information (if desired) for each submission. Once added, items in the template can be viewed and or deleted from the template. After completion, the Bulk Submission Template can be transmitted in the same way as single submissions. For more information on Bulk submissions see Chapter 5. October 2002 A-13 Filer Manual Volume I B.2.1.7 Submission Template Attached Documents List Page Information The Attached Documents List page allows ASCII text, HTML, or PDF documents to be attached, deleted, and viewed within the submission template. On the Attached Documents List page there are five fields: File Name Type Description Validation? Document Count* Document's filename automatically appears when a document is enclosed. Choose the document type: Cover, Correspondence, Graphic, EU-1, and EX. Enter a brief description up to thirty (30) characters in length. When you select this box, EDGARLink validates the document after the [Doc Validation] button is clicked. Automatically displays the number of documents attached to your submission. There are six EDGARLink page buttons that bring up the corresponding page: • • • • • • [Main Page] [Notifications] [Fee Offsets]** [Module/Segment] [Help] [Offerings/Fees]** There are six subdocument buttons: • • • • • • [Add Document] [Delete Document] [View Document] [Move Doc Down] [Move Doc Up] [Doc Validation] There is also the Save icon that saves your entire submission. For more information on submission documents, see Chapter 5. *Read-only information is automatically entered. **Available for fee bearing submissions only. B.2.1.8 Submission Template Notification Page Information Modernized EDGARLink allows you to notify as many people as necessary of the status of your EDGAR submission. For information on changing your main notification address or downloading a Requested Return Copy, see Chapter 6. Note: To download a complete copy of your filing you must select Return Copy on the Main Page of the Submission Template. The Notification Information page has one field: Internet Notification Address The [Add] button Notify via Filing website Only? Enter the Internet e-mail addresses in the standard Internet format. Inserts additional e-mail address lines. Do not try to enter more than one e-mail address in the Internet Notification Address field. Keeps EDGAR from e-mailing your submission status to anyone, and notification will be available through the EDGAR Filing website only. There are six EDGARLink page buttons that bring up the corresponding page: • • • • • • [Main Page] [Documents] [Fee Offsets]** [Module/Segment] [Help] [Offerings/Fees]** There is also the Save icon that saves your entire submission. For more information on notification, see Chapter 5. **Available for fee bearing submissions only. October 2002 A-15 Filer Manual Volume I B.2.1.9 Submission Template Attach Module/Segment Page Information The Referenced Module/Segment List page is only used for referencing Type 2 modules or segments that have already been created, validated, and transmitted to EDGAR. There are five fields on this page: M/S Module/Segment Name CIK CCC Type [Add Module/ Segment Reference] Select M for module or S for segment. Enter the correct module or segment name. Enter the CIK of the filer whose module you are using. Enter the CCC of the filer whose module you are using. Select the type of Type 2 module/segment you are attaching. Adds more module or segment lines. There are six EDGARLink page buttons that bring up the corresponding page: • • • • • • [Main Page] [Documents] [Fee Offsets]** [Notifications] [Help] [Offerings/Fees]** There is also the Save icon that saves your entire submission. If the referenced module or segment does not exist on EDGAR your submission will be suspended. For more information on modules and segments; see Chapter 5. **Available for fee bearing submissions only. B.2.1.9 Submission Template Attach Fee Offsets Page Information The Attach Fee Offsets page is used for entering previously filed fee bearing submission information and offset fee amounts. There are six fields on this page: CIK Form Type File Number Offset Filing Date Amount Fee Offset Total* [Add Fee Offset Line] Enter the CIK of the filer whose module you are using. Enter the form type of the previous filing. Enter the file number of the previous filing. Enter the filing date of the previous filing. Enter the amount applicable to the current submission. Enter the total amount of all previous filings. Inserts additional fee offset lines. There are six EDGARLink page buttons that bring up the corresponding page: • • • • • • [Main Page] [Documents] [Notifications] [Module/Segment] [Help] [Offerings/Fees]** There is also the Save icon that saves your entire submission. *Read-only information is automatically entered by EDGARLink. **Available for fee bearing submissions only. October 2002 A-17 Filer Manual Volume I B.2.1.9 Submission Template Attach Fee and Offering Page Information The Attach Fee and Offering page allows you to enter the submission offering data and uses the latest SEC rate information downloaded from the Filing website. Payor CIK Payor CCC Payment Method Fee Paid Total offering* Fee rate as of* Total fee* Total offset from Fee Offset Page* Fee due* Security Type Amount Being Registered Proposed maximum offering price per unit Proposed maximum aggregate offering price [Add Offering Entry] Third party paying CIK. Third party paying CCC. Method of fee payment: Fedwire/Lockbox. Amount paid. Total submission offering. SEC fee rate. Total fee amount due. Offset total amount from the Fee Offset page. Total fee amount due. Type of security being offered. Total number of units being registered. Maximum amount to pay per unit. Maximum amount of total offering. Adds additional offering lines. There are six EDGARLink page buttons that bring up the corresponding page: • • • • • • [Main Page] [Documents] [Notifications] [Module/Segment] [Help] [Fee Offsets]** There is also the Save icon button that saves your entire submission. *Read-only information is automatically entered. **Available for fee bearing submissions only. APPENDIX C A. Acceptable Values for Certain EDGAR Data Fields Values for some EDGAR data fields must be presented in a specific "conformed" format. Those values are listed within this appendix. DOCUMENT COUNT Although this field is read-only and EDGARLink automatically fills in this field, there are limitations on its value. Please use the following guideline when adding a document to a filing. (See section on DOCUMENT TYPE for further limitations.) A submission may include a maximum of 612 documents in the following combinations: • • • • • At least one (1) primary submission document* Up to ten (10) cover letters (document type "COVER") Up to one hundred (100) correspondence documents (document type "CORRESP") Up to five hundred (500) exhibits/graphics files (document type "EX-__")** One (1) EU-1 * The primary document must include the primary filing; exhibits must be included in separate exhibit documents appropriately labeled. ** For appropriate labels for exhibits, please see pages C-5 through C-10 and/or in accordance with rule or form requirements. ITEMS The following numbers are used as values for the ITEMS data field to represent the items described below. The ITEMS data field is acceptable only with the various 8-K submissions. Note: When more than one item is included, please select Multiple Items data fields. DESCRIPTION VALUE Changes in control of registrant 1 Acquisition or disposition of assets 2 Bankruptcy or receivership 3 Changes in registrant's certifying accountant 4 Other events 5 October 2002 A-1 Filer Manual Volume I Resignations of registrant's directors 6 Financial statements and exhibits 7 Change in fiscal year 8 Regulation FD Disclosure 9 METHOD FEE PAYMENT METHOD -- Values acceptable with the METHOD data field. LOCKBOX FEDWIRE STATE-OF-INCORPORATION U.S. STATES AND POLITICAL DIVISIONS -- Values acceptable with the STATE and STATE-OF-INCORPORATION data fields. STATE VALUE STATE VALUE Alabama AL Nevada NV Alaska AK New Hampshire NH Arizona AZ New Jersey NJ Arkansas AR New Mexico NM California CA New York NY Colorado CO North Carolina NC Connecticut CT North Dakota ND Delaware DE Ohio OH District of Columbia DC Oklahoma OK Florida FL Oregon OR Georgia GA Pennsylvania PA Hawaii HI Puerto Rico PR Filer Manual Volume I A-2 October 2002 STATE VALUE STATE VALUE Idaho ID Rhode Island RI Illinois IL South Carolina SC Indiana IN South Dakota SD Iowa IA Tennessee TN Kansas KS Texas TX Kentucky KY Utah UT Louisiana LA Vermont VT Maine ME Virgin Islands, U.S. VI Maryland MD Virginia VA Massachusetts MA Washington WA Michigan MI West Virginia WV Minnesota MN Wisconsin WI Mississippi MS Wyoming WY Missouri MO Montana MT Nebraska NE October 2002 A-3 Filer Manual Volume I CANADIAN PROVINCES Values acceptable with the STATE and STATE-OF-INCORPORATION data fields when indicating a Canadian province. PROVINCE VALUE PROVINCE VALUE Alberta A0 Ontario A6 British Columbia A1 Prince Edward Island A7 Manitoba A2 Quebec A8 New Brunswick A3 Saskatchewan A9 Newfoundland A4 Yukon B0 Nova Scotia A5 Foreign country codes (A0-Y5) are valid values. Contact Filer Support at (202) 942-8900. OTHER COUNTRIES -- Values acceptable with the STATE and STATE-OFINCORPORATION data fields to indicate a country other than the U.S. or Canada. Note: If you are a foreign issuer, call Filer Support for the correct Country Code. SROS SELF-REGULATORY ORGANIZATIONS -- Values acceptable with the SROS data field. ORGANIZATION VALUE American Stock Exchange AMEX Boston Stock Exchange BSE Cincinnati Stock Exchange CSE Chicago Board Options Exchange CBOE Chicago Stock Exchange CHX International Stock Exchange ISE National Association of Securities Dealers NASD Filer Manual Volume I A-4 October 2002 ORGANIZATION VALUE New York Stock Exchange NYSE Pacific Exchange, Inc. PCX Philadelphia Stock Exchange PHLX Not Applicable NONE TYPE SUBMISSION AND/OR DOCUMENT TYPES -- Values acceptable with the TYPE data field. 1. The following SUBMISSION TYPE data field values are acceptable: DESCRIPTION VALUE EDGAR name of required submission (All submission types listed in Appendix A/B) Correspondence Submission (Template 4) CORRESP Modular Submission (Template 5) MODULE Segment Submission (Template 5) SEGMENT 2. The following DOCUMENT TYPE data field values are acceptable: DESCRIPTION VALUE Cover letter COVER Correspondence document CORRESP NASAA document EU-1 Type 1 Module or Segment document TYPE 1 Name of submission type you must file (All submission types listed in Appendix A/B) Exhibits under Regulations S-K Document headers for Exhibits should be based on the following descriptions. For examples of Investment Company Exhibits, see pages C-7 through C-10. Underwriting agreement EX-1 October 2002 A-5 Filer Manual Volume I DESCRIPTION VALUE Plan of acquisition, regarding organization, arrangement, liquidation, or succession EX-2 Articles of Incorporation EX-3.(i) By-laws EX-3.(ii) Instruments defining the rights of security holders, including indentures EX-4 Opinion regarding legality EX-5 Opinion regarding discount on capital shares EX-6 Opinion regarding liquidation preference EX-7 Opinion regarding tax matters EX-8 Voting trust agreement EX-9 Material contracts EX-10 Statement regarding computation of per-share earnings EX-11 Statement regarding computation of ratios EX-12 Annual report to security holders, Form 10-Q or quarterly report to security holders EX-13 Material foreign patents EX-14 Letter regarding unaudited interim financial information EX-15 Letter regarding change of certifying accountant EX-16 Letter regarding director resignation EX-17 Letter regarding change in accounting principles EX-18 Report furnished to security holders EX-19 Filer Manual Volume I A-6 October 2002 DESCRIPTION VALUE Other documents or statements to security holders EX-20 Subsidiaries of the registrant EX-21 Published report regarding matters submitted to vote of security holders EX-22 Consents of experts and counsel EX-23 Power of attorney EX-24 Statement of eligibility of trustee (You can amend an EX-25 by submitting an amended registration statement and the document type EX25/A) EX-25 Invitations for competitive bids EX-26 Information from reports furnished to state insurance regulatory authorities EX-28 Additional exhibits (to be used for EX-99 exhibits not specifically designated by another number and by investment companies) Other exhibit selections are as follows: Examples of Document Type Values for Investment Company Exhibits: Form N-1A EXHIBITS ITEM 23 EX-99.a CHARTER EX-99.b BYLAWS EX-99.c HOLDERS RTS EX-99.d ADVSR CONTR EX-99.e UNDR CONTR EX-99.f BONUS PROFIT EX-99.g CUST AGREEMT EX-99.h OTH MAT CONT* EX-99.i LEGAL OPININ EX-99.j OTHER OPININ* EX-99.k OMT FIN STAT EX-99.l INT CAP AGRE EX-99.m 12B-1 PLAN EX-99.n 18F-3 PLAN EX-99.p CODE ETH October 2002 FORM N-14 EXHIBITS ITEM 16 EX-99.1 CHARTER EX-99.2 BYLAWS EX-99.3 VOTING TRUST EX-99.4 ACQ AGREEMNT EX-99.5 HOLDERS RTS EX-99.6 ADVSER CONTR EX-99.7 DISTR CONTR EX-99.8 O&D BENEFTS EX-99.9 CUST CONTRCT EX-99.10 12B1 PLAN EX-99.11 OPIN COUNSL EX-99.12 TAX OPINION* EX-99.12 REV RULING* EX-99.13 OTH CONTRCT* EX-99.14 OTH CONSENT* EX-99.15 OTH FIN ST EX-99.16 PWR OF ATTY EX-99.17 (as approp) A-7 Filer Manual Volume I Form N-2 EXHIBITS ITEM 24(2) Form N-6 EXHIBITS ITEM 27 EX-99.2A CHARTER Ex-99.a BD-DIR-RESOL EX-99.2B BYLAWS EX-99.b CUST-AGRMETS EX-99.2C VOTING TRST EX-99.c UNDER CONTRT EX-99.2D HOLDERS RTS EX-99.d CONTRACTS EX-99.2E DIV REIN PL EX-99.e APPLICATIONS EX-99.2F SUBSID DEBT EX-99.f DEP CERT/BYL EX-99.2G ADVSR CONTR EX-99.g REINS CONTRT EX-99.2H DISTR CONTR EX-99.h PARTIC AGREE EX-99.2I O&D BENEFTS EX-99.i ADMIN CONTRT EX-99.2J CUST CONTR EX-99.j OTH MAT CONT EX-99.2K OTH CONTRCT* EX-99.k LEGAL OPININ EX-99.2L OPIN COUNSL EX-99.l ACTUARIAL OP EX-99.2M CNSNT SRVCE EX-99.m CALCULATION EX-99.2N OTH CONSENT* EX-99.n OTH OPINIONS EX-99.2O OTH FIN ST EX-99.o OMITD FIN ST EX-99.2P STOCK LTR EX-99.p INIT CAP AGR EX-99.2Q RETRMT PLAN EX-99.q REDEEM EXEMP EX-99.2R CODE ETH * Name of exhibit may vary depending on the specific content of the exhibit. Note: You may include up to fourteen characters after the decimal point in the document type value. Examples of Document Type Values for Investment Company Exhibits For Filings Made on Forms N-8B-2 and S-6: FORM N-8b-2 PAR A EX-99.A1 INDNTR ORGN EX-99.A2 INDNTR PMT EX-99.A3A DIST CONTR EX-99.A3B DEALER AGR EX-99.A3C SCH COMMIS EX-99.A4 OTHER AGRMT EX-99.A5 FORM/SECRTY EX-99.A6 CERT/BYLAWS EX-99.A7 INSR POLICY EX-99.A8 DEPOSIT AGR EX-99.A9 OTHER CONTR EX-99.A10 PERIODC PP EX-99.A11 CODE ETH B EX-99.B1 NOTIC/SHLDR EX-99.B2 ANRPT/SHLDR C Dealer's name & address Filer Manual Volume I FORM S-6 INSTR 1 EX-99.A1 INDNTR ORGN EX-99.A2 INDNTR PMT EX-99.A3A DIST CONTR EX-99.A3B DEALER AGR EX-99.A3C SCH COMMIS EX-99.A4 OTHER AGRMT EX-99.A5 FORM/SECRTY EX-99.A6 CERT/BYLAWS EX-99.A7 INSR POLICY EX-99.A8 DEPOSIT AGR EX-99.A9 OTHER CONTR EX-99.A10 PERIODC PP 2 EX-99.2 OPIN COUNSEL 3 EX-99.3 OTHER FIN ST 4 EX-99.4 UNREG ISSUER A-8 October 2002 OTHER Consents required by Instruction 4 of S-6 (as applicable): EX-99.C1 ACCT CONSNT EX-99.C2 EVAL CONSNT EX-99.C3 RTG AGY OPN EX-99.C4 TAX OPINION EX-99.C5 REV RULING EX-99.C6 OTHER OPIN Notes: (1) The content of this exhibit shall be supplied separately as confidential information pursuant to rule 45a-1 (in paper format). (2) You may include up to fourteen characters after the decimal point in the document type value. Examples of Document Type Values for Investment Company Exhibits Filed with Form NSAR: ITEM B C D E F G H I J K L M N O P Q1 Q2 77 EX-99.77B ACCT LTTR EX-99.77C VOTES EX-99.77D POLICIES EX-99.77E LEGAL EX-99.77F CHNG DEBT EX-99.77G DEFAULTS EX-99.77H CHNG CNTRL EX-99.77I NEW SECUR EX-99.77J REVALUATN EX-99.77K CHNG ACCNT EX-99.77L NEW ACCTNG EX-99.77M MERGERS EX-99.77N RULE 2A-7 EX-99.77O RULE 10F-3 EX-99.77P EXMPT INFO EX-99.77Q1 OTHR EXHB EX-99.77Q2 ITEM 405 Notes: (1) You may include up to fourteen characters after the decimal point in the document type value. (2) When using the values EX-1 through EX-99, you may add characters after a decimal point to further define the exhibit being submitted. For example: EX-10.24 Supply contracts (3) You may not attach exhibits to document types CORRESP, modules, or segments. (4) The number and types of documents you can submit are limited. Please see the DOCUMENT COUNT data field for more information. October 2002 A-9 Filer Manual Volume I a. A correspondence filing may include up to 100 correspondence documents. RELATIONSHIP The following values are valid for the RELATIONSHIP data field to represent the terms described below. The RELATIONSHIP data field is acceptable only with the 3, 4, 5, and 144 submission types (and amendments to these submissions) used for reporting stock ownership. DESCRIPTION VALUE Owner of more than 10% of Subject Company Owner Director of Subject Company Director Officer of Subject Company Officer None of the above Other PERIOD You CAN use a future date in the PERIOD data field within the following submission types: 6-K 6-K/A 8-K 8-K/A DEF 14A DEF 14C DEFN14A N-23C-2 N-23C-2/A N-23C3A N-23C3A/A N-23C3B N-23C3B/A N-23C3C N-23C3C/A PREM14C PRE 14A PRE 14C PREM14A PREN14A You CANNOT use a future date in the PERIOD field within the following submission types: 10-K 10-K/A 10KSB 10KSB/A 10-KT 10-KT/A 10-Q 10-Q/A 10QSB 10QSB/A 10-QT 10-QT/A 11-K 11-K/A 11-KT 11-KT/A 13F-HR 13F-HR/A 13F-NT 13F-NT/A 18-K 18-K/A 20-F 20-F/A Filer Manual Volume I A-10 October 2002 24F-2NT 24F-2NT/A 3 3/A 4 4/A 5 5/A 8-K12B 8-K12B/A 8-K12G3 8-K12G3/A 8-K15D5 8-K15D5/A ANNLRPT ANNLRPT/A ARS ARS/A N-23C-1 N-23C-1/A N-27D-1 N-27D-1/A N-30B-2 N-30D N-30D/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 10-K NT 10-K/A NT 10-Q NT 10-Q/A NT 11-K NT 11-K/A NT 15D2 NT 15D2/A NT 20-F NT 20-F/A NT-NSAR NT-NSAR/A QRTLYRPT QRTLYRPT/A SP 15D2 SP 15D2/A U-13-60 U-13-60/A U-33-S U-33-S/A U-3A-2 U-3A-2/A U5S U5S/A U-7D U-7D/A U-9C-3 U-9C-3/A October 2002 A-11 Filer Manual Volume I APPENDIX D A. Messages Reported by EDGAR D.1 Introduction EDGAR generates and sends either acceptance or suspense messages to you after your submission has been received. Either type of message may contain notices of discrepancies or inconsistencies in the submission. Those notices are reported as warnings or errors. Errors cause a submission to be suspended, but warnings do not. After EDGAR generates a suspense message, you must correct and/or resubmit the submission before we can accept it. Notes: (1) In some cases, EDGAR may replace an unrecognizable character in your submission with a circumflex (^). (2) Some discrepancies may generate either a warning or an error message depending upon the tag or value involved. (3) If you use the submission or document validation option to check a filing before submitting it to us, you will receive the same similar messages as those received from EDGAR. (4) For EDGARLink/Windows, the term “tag” actually means “field”. This Appendix contains the following: • • • October 2002 Examples of acceptance and suspense messages. Examples of errors and warnings reported in acceptance and suspense messages, and the accompanying messages that are generated. An alphabetical listing of error/warning messages, with explanations and suggested solutions. A-1 Filer Manual Volume I D.2 Example of Acceptance Message for Official Filings Returned via the Internet: FROM: EDGAR POSTMASTER [EDGARPOST1] TO: jsmith@xyz.com DATE: 14-JAN-1999 15:00:10 EST SUBJECT: ACCEPTED FORM TYPE 10-K (1010101010-99-010051) MSG ID: 97349-56392 THE FOLLOWING SUBMISSION HAS BEEN ACCEPTED BY THE U.S. SECURITIES AND EXCHANGE COMMISSION: COMPANY: MUNICIPAL INVESTMENTS TAX EXEMPT FUND FORM TYPE: 10-K NUMBER OF DOCUMENTS: 3 RECEIVED DATE: 14-JAN-1999 13:18 ACCEPTED DATE: 14-JAN-1999 13:30 FILING DATE: 14-JAN-1999 13:18 TEST FILING: NO CONFIRMING COPY: NO ACCESSION NUMBER: 1010101010-99-010051 FILE NUMBER(S): 1. 33-89023 THE PASSWORD FOR LOGIN CIK 1010101010 WILL EXPIRE 31-DEC-1999 PLEASE REFER TO THE ACCESSION NUMBER LISTED ABOVE FOR FUTURE INQUIRIES. REGISTRANT(S): 1. CIK: 1010101010 COMPANY: MUNICIPAL INVESTMENTS TAX EXEMPT FUND FORM TYPE: 10-K FILE NUMBER(S): 1. 33-89023 THE SUBMISSION CONTAINED THE FOLLOWING WARNINGS: WRN: WARNING - TAG_VALUE_MISSING_OR_INVALID MSG: Value for is missing or invalid (BADVALUE). LOC: LINE NUMBER: 0 LINE OFFSET:0 FILE OFFSET:0 Filer Manual Volume I A-2 October 2002 D.3 Example of Suspense Message: FROM: EDGAR POSTMASTER [EDGARPOST1] TO: TESTER01 DATE: 16-JAN-1999 14:45 EST SUBJECT: SUSPENDED FORM TYPE 485APOS (0000123789-99-006521) MSG ID: 13359-36894 THE FOLLOWING SUBMISSION HAS BEEN SUSPENDED BY THE U.S. SECURITIES AND EXCHANGE COMMISSION: COMPANY: MUNICIPAL FUND INVESTMENTS FORM TYPE: 485APOS NUMBER OF DOCUMENTS: 1 RECEIVED DATE:16-JAN-1999 10:18 SUSPENDED DATE: 16-JAN-1999 14:00 TEST FILING: NO CONFIRMING COPY: NO ACCESSION NUMBER: 0000123789-99-006521 FILE NUMBER(S): 1. 2-92893 THE PASSWORD FOR LOGIN CIK 0000123567 WILL EXPIRE 01-FEB-1999 00:00. THIS SUBMISSION MUST BE RE-TRANSMITTED IN ITS ENTIRETY. ERR: MSG: REF: LOC: INVALID_CHARACTER Invalid ASCII code, value (156) at location specified. (The message that appears here represents the text of the filing and approximately five lines prior to the error and the error itself. This will show you where the error is in context and will make it easier to find the invalid character. The error will be repeated but, in the case of invalid ASCII codes, may not be printable.) LINE NUMBER: 450 LINE OFFSET: 29 FILE OFFSET: 27000 WRN: MSG: LOC: WARNING - UNRECOGNIZED TAG tag is not recognized by EDGAR LINE NUMBER: 3 LINE OFFSET:0 FILE OFFSET:28 October 2002 A-3 Filer Manual Volume I D.4 Warning Notice for Flawed Financial Data Schedules As of July 2001, we are longer accepting EX-27 (FDS) documents. D.5 Explanation of Error Messages EDGAR will list each error in the order in which it was encountered in processing. Some error conditions may generate more than one error. You will receive an error message, via the Internet address you have provided, in the following format: ERR: MSG: DUPLICATE_FILER (This is EDGAR’s internal error message name for the error condition.) FILER_CIK (VALUE) IS DUPLICATED (This message describes the error.) Note: If the same error occurs repeatedly in a filing, not all of the errors will be reported. For example, if the filing has exceeded the reporting limit for the number of invalid characters in a filing, only the first 10 occurrences will be reported. LOC: This portion of the message helps you identify the line number associated with the error. The position of the error (character count) helps you move directly to the error location so that you may easily repair the error. For example, the LOC section of the error message could be: LINE NUMBER: 30 This Appendix lists the Error Message names in alphabetical order. The "ERR" or "WRN" and "MSG" sections of an error-check message are repeated in the List of Errors. We have included the following two additional information categories in this list: DESCRIPTION OF ERROR: SOLUTION: This is a more detailed description of the problem that caused the error and may explain why the filing was not accepted. This section of the message makes some suggestions for correcting the error. Note: Some error messages can be used for more than one tag field or error. In each error message that can apply to multiple tags, the term or field is used. The error message, which is in EDGARLink and received from the Internet indicates the actual tag which caused the error. An example of an error message that could be used for more than one tag could be: ERR: REQUIRED_TAG_MISSING MSG: Required tag is missing. When you find "REQUIRED_TAG_MISSING" in the List of Errors, the message reads: Filer Manual Volume I A-4 October 2002 MSG: Required tag is missing. Since many tags are required for acceptance, not every possible message is listed here. The EDGARLink or Internet message specifies exactly which required tag is missing. Similarly, a tag’s value may be noted in the error message received from the Internet or EDGARLink. In the listing of errors in the manual, however, the message will have the tag value in parentheses (value). The Internet error message will show the actual value that was inserted. For example, if the correct CIK is 0000456789 and you entered 0000466789 after the tag, the error message will read: ERR: MSG: INCONSISTENT_TAG_VALUE value is inconsistent with (0000466789). For the previous error, the message in this appendix will be: MSG: value is inconsistent (value). Although EDGARLink and EDGAR have been designed to find as many errors as possible, certain types of submission errors will halt processing so that subsequent errors cannot be detected. For example, when the system does not recognize a submission type, the filing requirements cannot be checked. Under such conditions, you will receive the message, "May contain other errors." D.6 List of Errors and Warnings Note: Errors [ERR] will cause a filing to be suspended; warnings [WRN] will not. WRN: ACCEPT_WITH_ERROR MSG: Previous error(s) ignored for continued processing. Submission has been accepted with the listed errors. DESCRIPTION This warning is associated with our processing of the filing. OF WARNING: SOLUTION: This warning will not cause suspension of your submission. No action is required. ERR: ACC_NO_FILE_NUM_WITH_CORRECT_PREFIX MSG: CIK (value) has no previous file number with a prefix of (value). DESCRIPTION OF ERROR: The filing is being blocked because the filer does not have a previous filing with a file number with the reported prefix. SOLUTION: Correct the filing and resubmit. October 2002 A-5 Filer Manual Volume I ERR: ACTIVE_CONTENT_NOT_ALLOWED MSG: Active content found within HTML document (DOCUMENT_TYPE): (value). DESCRIPTION OF ERROR: A script, or other active content, was embedded in an HTML document that was attached to the EDGAR filing. SOLUTION: Remove any scripts from HTML document(s) before submitting the filing to EDGAR. ERR: BEGIN_TAG_MISSING MSG: In (value): the (value) end tag has no corresponding begin tag. DESCRIPTION OF ERROR: Your submission document has a beginning tag missing, i.e., or . SOLUTION: Insert the missing tag, re-enclose the document, and retransmit your submission. ERR: CANNOT_VALIDATE_DOCUMENT MSG: Document (value) has a (value) of (value), so it will not be validated. DESCRIPTION OF ERROR: Your submission document cannot be validated because it is a graphic. SOLUTION: Turn off the Validation check box in EDGARLink and retransmit your submission. ERR: CIK_FILE_NUMBER_MISMATCH MSG: File Number (value) provided for CIK (value) does not belong to that CIK. DESCRIPTION OF ERROR: A provided file number is not associated with the correct filer. SOLUTION: Correct the filing and resubmit. ERR: CIK_IRS_NUMBER_MISMATCH MSG: IRS Number (value) provided for CIK (value) is incorrect. DESCRIPTION OF ERROR: The IRS Number specified for the filer is incorrect. SOLUTION: Correct the filing and resubmit. ERR: CIK_REF_429_MISMATCH MSG: Ref429 File Number (value) provided for CIK (value) does not belong to that CIK. DESCRIPTION OF ERROR: A Reference429 file number is not associated with the correct filer. SOLUTION: Correct the filing and resubmit. Filer Manual Volume I A-6 October 2002 ERR: CIK_REF_462B_MISMATCH MSG: Ref462B File Number (value) provided for CIK (value) does not belong to that CIK. DESCRIPTION OF ERROR: A Reference462B file number is not associated with the correct filer. SOLUTION: Correct the filing and resubmit. ERR: DOC_NAME_TYPE_MISMATCH MSG: Document (value) cannot have a type of (value). DESCRIPTION OF ERROR: One of the documents in your submission has a missing file name type, incorrect extension, invalid Type 1 module or segment, or incorrect file type. SOLUTION: Correct the submission document and retransmit. WRN: DOCUMENT_DELETED MSG: The PDF document (value) was removed from the submission since it contains invalid content. DESCRIPTION The unofficial PDF document contains an invalid tag and was removed from OF WARNING: the submission. SOLUTION: The submission will not be suspended if this is the only error. ERR: DUPLICATE_FILING MSG: Duplicate filing. DESCRIPTION OF ERROR: You have submitted a duplicate filing. This error may require our intervention for proper resolution. SOLUTION: Verify period of report and make correction, if necessary. If you accidentally submitted a duplicate filing that was suspended, no further action is needed. EDGAR will delete a suspended submission after six (6) business days. If necessary, contact us for help with resolving this problem. If you believe your filing is not a duplicate, call your subject matter division, Corporation Finance, or Investment Management. WRN: DUPLICATE_MODSEG_REFERENCE MSG: In (value): the reference to the (value) named (value) is specified more than once. DESCRIPTION OF ERROR: Your submission references the same module or segment twice. SOLUTION: Correct the Type 2 module or segment document reference and retransmit your submission. ERR: DUPLICATE_MODULE_NAME MSG: Attempt to re-use module name (value). DESCRIPTION OF ERROR: You attempted to Add, Delete, or Replace the module more than once in a single submission, or attempted to add a module that already exists. SOLUTION: Either rename a module that you wish to add or, if this is a second attempt to add or replace a module, check with Filer Support to verify if the module has already been received, replaced, or added. If so, no further action is required. October 2002 A-7 Filer Manual Volume I ERR: DUPLICATE_MODULE_RESOLUTION MSG: Type 2 MODULE reference (value) is to a file named (value). Another document, module, or segment in this submission has this same file name. DESCRIPTION OF ERROR: A module submission has the same name as another submission document. SOLUTION: Rename the module file and retransmit. ERR: DUPLICATE_SEGMENT_NAME MSG: You attempted to re-use a segment name (value). DESCRIPTION OF ERROR: You attempted to use duplicate segment names. This error can occur because: there are duplicate segment names within one segment submission; you attempted to use a segment name defined in a previous submission. Note: Segment names expire upon use or after six (6) days from entry date. SOLUTION: Define a unique segment name and re-submit. ERR: DUPLICATE_SEGMENT_RESOLUTION MSG: Type 2 Segment reference (value) is to a file named (value). Another document or module in this submission has this same file name. DESCRIPTION OF ERROR: A segment submission has the same name as another submission document. SOLUTION: Rename the segment file and retransmit. ERR: DUPLICATE_TAG_VALUE MSG: (Value) tag is duplicated. DESCRIPTION OF ERROR: The same tag value occurs more than once in the list of tag values. For example, an SRO value of "AMEX" is provided twice. SOLUTION: Remove the duplicate tag value. ERR: DUPLICATE_XFDL_DATA_NODE MSG: Improperly constructed XFDL submission file. The file has multiple MIME data nodes for document (value). DESCRIPTION OF ERROR: There are duplicated documents in your submission. SOLUTION: Remove the duplicated document and retransmit your submission. ERR: EDGARLINK_DOCUMENT_ERROR MSG: The document (value) contains (value) error(s). DESCRIPTION OF ERROR: Your submission contains errors. SOLUTION: Open the template that was submitted and view the attached documents. Fix errors, save and reattach document to submission, and revalidate. Filer Manual Volume I A-8 October 2002 ERR or WRN: EMPTY_DOCUMENT MSG: Document (value) in Submission of type (value) is empty. DESCRIPTION The document indicated contains only white space. SOLUTION: Open the template that was submitted and view the attached documents. ERR: END_TAG_MISSING MSG: In (value): the (value) begin tag has no corresponding end tag. DESCRIPTION OF ERROR: Your submission document has an end tag missing, i.e., or . SOLUTION: Insert the missing tag, re-enclose the document, and retransmit your submission. ERR: FEE_DUE_AND_PAID_MISMATCH MSG: Amount of fee being paid (value) is less than the amount of fee owed (value). DESCRIPTION OF ERROR: Your account does not have enough money to cover the fee bearing submission. SOLUTION: Check with Mellon Bank and deposit the missing amount. If the fee is offset, check your calculations and retransmit your submission. ERR: FILE_NUM_PREFIX_ALREADY_USED MSG: CIK (value) already has a file number with a prefix of (value). DESCRIPTION OF ERROR: The filing is being BLOCKED because the filer has previously submitted a filing that received a file number with the reported prefix. SOLUTION: Correct the filing and resubmit. ERR: ILLEGAL_LINK_TO_PRIVATE_DOCUMENT MSG: In (value): contains an illegal link to the private document (value). DESCRIPTION OF ERROR: You have a Private document that has a link from a Public HTML document. All link references from within an HTML document must match the designated Filenames of the referenced documents. Private documents may not be linked. Any link within an HTML document that does not meet this standard will cause EDGAR to issue this error. SOLUTION: Please name all of your attached documents that are referenced by links within an HTML document. Do not link to Private documents. You must use only SEC-approved Filenames for your referenced documents ERR: ILLEGAL_MODSEG_REFERENCE MSG: In (value): this (value) document contains an illegal reference to a (value) (value). DESCRIPTION OF ERROR: Your submission references a module or segment that doesn't exist, or the module or segment name doesn't conform. SOLUTION: Verify module or segment on EDGAR. Correct the reference and retransmit the master module or segment. October 2002 A-9 Filer Manual Volume I ERR: INCONSISTENT_TAG_VALUE MSG: The (value) is inconsistent with (value) (value). DESCRIPTION OF ERROR: Either the CIK or the CCC is invalid. SOLUTION: Check your records and correct the inconsistent value. ERR: INSUFFICIENT_FEE_FUNDS MSG: This filing has insufficient fee funds. DESCRIPTION OF ERROR: You sent insufficient fee funds. SOLUTION: Check the amount required. If necessary, send additional funds, or contact Filer Support if your calculations do not agree with ours. Once the problem is fixed, re-submit the filing. WRN: INSUFFICIENT_FEE_FUNDS MSG: This filing has insufficient fee funds. No funds have been debited from the specified account. DESCRIPTION OF ERROR: This fee bearing filing does not have the correct funds. SOLUTION: Check the last fee deposit within 24 hours of transmission. ERR: INVALID_ASCII_TAG MSG: In (value): found an invalid ASCII tag (value). DESCRIPTION OF ERROR: Your submission document contains invalid ASCII characters. SOLUTION: Remove the invalid character, re-enclose, and retransmit your submission. ERR: INVALID_CHARACTER MSG: In (value): found an invalid ASCII code (value). DESCRIPTION OF ERROR: Your submission contains an invalid ASCII character. SOLUTION: If you receive many messages regarding invalid characters, you may have submitted a word processing document that you did not first convert to ASCII or HTML. In this case, convert the filing to ASCII or HTML and submit the ASCII or HTML version. If you receive such messages after having submitted an ASCII or HTML graphic version of the filing, your word processing software may have made an incomplete translation to ASCII or HTML. You must remove the additional codes individually. The software's "search and replace" feature may help you to locate errors. If you receive only a few such messages, remove the invalid character(s) individually and resubmit the filing. If you cannot "see" the error, it may be a code that cannot be displayed on your PC screen. You may be able to correct the filing by deleting and inserting a space at the location indicated. If you receive only a few such messages and correction of this document would represent an unreasonable burden, call Filer Support to explore whether replacement of the invalid characters with a circumflex (^) destroys the readability of the document. Filer Manual Volume I A-10 October 2002 ERR: INVALID_DIGITAL_SIGNATURE MSG: Submission (value) contains invalid Digital Signature. DESCRIPTION OF ERROR: Submission contains invalid Digital Signature. SOLUTION: Check to make sure you are using the correct, up-to-date signature file. ERR: INVALID_EFFECTIVENESS_DATE MSG: Effectiveness Date (value) is out of range. It must fall between (value) and (value), inclusive. DESCRIPTION OF ERROR: The filing is SUSPENDED because the specified Effectiveness Date is out of range. The valid format for this tag value can be one of the following: mm-ddyyyy, mm/dd/yyyy, mm dd yyyy, dd mmm yy, mmm dd yy. Note: Two digit year values (yy) may be substituted for the four digit year values (yyyy). SOLUTION: Correct the filing and resubmit. ERR: INVALID_EXTERNAL_REFERENCE MSG: In (value): improper external reference (value). DESCRIPTION OF ERROR: An invalid external reference was embedded in an HTML document that was attached to your EDGAR filing. You may only reference documents that are also contained within your submission or you may reference a previouslysubmitted filing on the http://www.sec.gov/Archives website. Module and Segment documents cannot contain HTML external (graphic) references. Also, attached documents cannot have duplicate names. SOLUTION: Remove or correct any external graphic references from the HTML document(s) before submitting your filing to EDGAR. WRN: INVALID_FDS_DOCUMENT MSG: Financial Data Schedule (value) could not be processed and was excluded from the submission. DESCRIPTION The EDGAR system no longer accepts EX-27 Financial Data Schedule OF WARNING: documents. When received, such a document is removed from the submission. SOLUTION: Do not attempt to submit EX-27 FDS documents. ERR: INVALID_FEE_DATA MSG: The waiver amount is greater than the fee due. DESCRIPTION OF ERROR: Fee data is incomplete. This error may occur as a result of other errors. SOLUTION: Correct all errors and resubmit. October 2002 A-11 Filer Manual Volume I ERR: INVALID_FILE_NUM_PREFIX MSG: The File Number (value) provided for CIK (value) does not have a valid prefix of (value). DESCRIPTION OF ERROR: Only a certain set of file number prefixes are valid for the submission. The file number provided for the specified filer does not have one of these valid suffixes. SOLUTION: Correct the filing and resubmit. ERR: INVALID_HTML_TAG MSG: An invalid HTML tag was found within the HTML document (DOCUMENT_TYPE): (VALUE). DESCRIPTION OF ERROR: All tags within an HTML document must conform to the HTML 3.2 tag subset that is acceptable by EDGAR. Any tag within an HTML document that does not conform to this standard will cause EDGAR to issue this error. SOLUTION: Within an HTML document, you must use only the SEC-approved set of HTML 3.2 tags. ERR: INVALID_NESTED_TAG MSG: In (value): the (value) tag must be nested inside a (value) tag nest. DESCRIPTION OF ERROR: Your submission document contains nested tags that are not structured correctly, i.e., Type 1 Module nested tags. SOLUTION: Correct the nested tag structure, re-enclose the document, and retransmit your submission. ERR: INVALID_OFFERING_AMOUNT MSG: Total offering amount of (value) is invalid. Must be greater than zero. DESCRIPTION OF ERROR: The offering amount is invalid. SOLUTION: Correct the offering data and resubmit. ERR: INVALID_OFFSET_DATA MSG: This filing has invalid fee offset data. DESCRIPTION OF ERROR: To specify an offset, the filer must provide a CIK, File Number, Form Type, and Offset Filing Date. If any of these are missing or invalid, EDGAR cannot query the database for an offset amount. Also, if the query can be made but no offset matches the criteria, EDGAR will generate this error. SOLUTION: Correct the offset data and resubmit. ERR: INVALID_PDF_TAG MSG: In (value): found an invalid PDF tag (value). DESCRIPTION OF ERROR: No PDF tags that support active content, external references, or scripts are allowed in unofficial PDF attachments. EDGAR will remove the unofficial document from the filing before dissemination. SOLUTION: Remove the non-supported tags and associated content. Filer Manual Volume I A-12 October 2002 ERR: INVALID_REF_462B_PREFIX MSG: Ref462B File Number (value) does not have a valid prefix of (value). DESCRIPTION OF ERROR: A provided Reference 462B file number has an invalid prefix. SOLUTION: Correct the filing and resubmit. ERR: INVALID_REPORTING_FILE_NUMBER MSG: The Reporting File Number (value) for CIK (value) does not have a valid prefix of (value). DESCRIPTION OF ERROR: The filing is being BLOCKED because the assignment of file numbers depends on the filer having a Reporting File Number with an appropriate prefix. SOLUTION: Contact us if you require additional information needed to resolve this problem. ERR: INVALID_SUBJ_COMP_FILE_NUMBER MSG: The provided File Number (value) for Subject Company (value) does not match the File Number (value) of the company's latest S-4 filing. DESCRIPTION OF ERROR: The provided File Number (value) for Subject Company (value) does not match the File Number (value) of the company's latest S-4 filing. SOLUTION: Correct the filing and resubmit. ERR: INVALID_SUBMISSION_TYPE MSG: Receipt Server does not process XFDL submission of type: (value). DESCRIPTION OF ERROR: This error is generated for an unrecognized form type. SOLUTION: Check the form type you submitted to ensure it was correct. WRN: INVALID_TAG MSG: (Value) tag is not valid for this submission type. DESCRIPTION The submission file has a data value in a field (XFDL tag) that is not valid for OF WARNING: the submission type. SOLUTION: The submission will not be suspended for this. To correct this, the filer needs to delete the field that is not valid for the submission type. ERR: INVALID_UNOFFICIAL_PDF MSG: An unofficial PDF document (value) must follow an official ASCII or HTML version associated with an official document. DESCRIPTION OF ERROR: A PDF document is considered unofficial and may only be included as a supplemental, duplicate attachment of another document within the filing. An official ASCII or HTML version of the document must precede the PDF version within the filing. A PDF document cannot be submitted without an official ASCII or HTML version accompanying it. October 2002 A-13 Filer Manual Volume I SOLUTION: You must include an official ASCII version of the document in the submitted filing and attach it before the unofficial PDF version. WRN: LATE_SUBMISSION MSG: EDGAR did not receive the Submission (value) on-time. Accordingly, the extension of time allowed by Rule 12b-25 is not available. The Submission (value) has been accepted but re-classified as (value). DESCRIPTION OF ERROR: The filing is of type NT 15D2, NT 10-K, NT 11-K, NT 10-Q, NT 20-F, or NT NSAR. You must file each of these filing types within a certain time period based on an associated registration statement's effectiveness date, fiscal year end, quarter end, or reporting period. If you file late, the filing type will be reclassified as NTN15D2, NTN 10K, NTN 10Q, NTN 11K, NTN 20F, or NTFNSAR as appropriate. SOLUTION: No action is required. ERR: MISSING_FILE_NUMBER MSG: No File Number provided for CIK (value). DESCRIPTION OF ERROR: A mandatory File Number value was not provided. SOLUTION: Correct the filing and resubmit. ERR: MISSING_REQUIRED_FEE_DATA MSG: This filing has missing required fee data. DESCRIPTION OF ERROR: Data on which the fee is calculated is incomplete. SOLUTION: Verify that all required information is present. This error message usually occurs with other error messages. Correct all errors and resubmit. ERR: MISSING_XFDL_MIME_DOCUMENT MSG: Improperly constructed XFDL submission file. The document (value) does not have a data node containing the MIME document. DESCRIPTION OF ERROR: Your submission is missing the enclosed submission document. SOLUTION: Attach document and retransmit submission. ERR: MODULE_CCC_INVALID MSG: (Value) is inconsistent with (value) (value). DESCRIPTION OF ERROR: The referenced module has an invalid CIK/CCC combination. SOLUTION: Correct the CIK/CCC combination for the module reference and retransmit the submission. Filer Manual Volume I A-14 October 2002 ERR: MODULE_CCC_INVALID MSG: In (value): reference to module (value) with CIK of (value) has an invalid CCC value. DESCRIPTION OF ERROR: A document contains a Type 1 module reference with an invalid CIK/CCC combination. SOLUTION: Correct the CIK/CCC combination for the module reference in the attached document and retransmit the submission. ERR: MODULE_CIK_INVALID MSG: (Value) value is inconsistent with (value) (value). DESCRIPTION OF ERROR: The referenced module has an invalid CIK. SOLUTION: Correct the CIK for the module reference and retransmit and your submission. ERR: MODULE_CIK_INVALID MSG: In (value): reference to module (value) has an invalid CIK of (value). DESCRIPTION OF ERROR: A document contains a Type 1 module reference with an invalid CIK. SOLUTION: Correct the CIK for the module reference in the attached document and retransmit the submission. ERR: MODULE_DIR_LIMIT_EXCEEDED MSG: Adding (value) modules totaling (value) bytes to the (value) modules totaling (value) bytes that already exist for CIK (value) would exceed directory limit of (value) bytes per CIK. DESCRIPTION OF ERROR: The size of your module exceeds the amount of storage you are allowed to store in EDGAR, 1 MB. SOLUTION: Login to the Filing website, remove some of your old modules, and retransmit your new modules. ERR: MODULE_DOCUMENT_TOO_BIG MSG: Module (value) is (value) bytes, which exceeds the module document size limit of (value) bytes. DESCRIPTION OF ERROR: The size of your module exceeds the amount of storage you are allowed to store in EDGAR, 1 MB. SOLUTION: Edit the module document so that its size is less than 1 MB and retransmit your new module. October 2002 A-15 Filer Manual Volume I ERR: MODULE_NOT_FOUND MSG: Referenced module (value) does not exist for CIK (value). DESCRIPTION OF ERROR: The referenced module is not in the database. SOLUTION: Verify that you entered the reference exactly as it was named when it was submitted. Either correct the module name or resubmit the module. ERR: MODULE_NOT_FOUND MSG: In (value): referenced module (value) does not exist for CIK (value). DESCRIPTION OF ERROR: The referenced module is not owned by the referenced CIK. SOLUTION: Correct the module and retransmit the module and your submission. ERR: MODULE_REF_DOC_TYPE_ERROR MSG: Module (value), which is really (value), is of the same type (value) as the submission but is not a PDF document. DESCRIPTION OF ERROR: A module reference, which is made via the module’s nickname, is actually to a non-PDF file that is of the same type as the submission. That is, an attempt was made to use a module as the submission’s primary document. EDGAR does not support this capability. SOLUTION: Correct the module document and/or the submission and resubmit. ERR: MODULE_REFERENCE_ERROR MSG: In (value): illegal reference to module (value). This is really a reference to the file (value), which is not a Type 1 ASCII module. DESCRIPTION OF ERROR: The referenced module is not a Type 1 ASCII module. SOLUTION: Create and retransmit the Type 1 module and your submission. ERR: MODULE_REFERENCE_ERROR MSG: In (value): a MODULE reference is improperly specified. (value) DESCRIPTION OF ERROR: Your submission document contains an improper Type 1 module reference. SOLUTION: Correct the module reference, re-enclose the document, and retransmit your submission. ERR: MODULE_REFERENCE_TYPE_ERROR Filer Manual Volume I A-16 October 2002 MSG: Type (value) module (value) is invalid in context. Type (value) is permissible. DESCRIPTION OF ERROR: A module reference was encountered in the wrong context. Modules are of two types: 1. Type 1 consists of a partial document. 2. Type 2 consists of one whole document. Type 1 modules must be referenced only from within the body portion of a document. Type 2 modules must be referenced on the Module/Segment List Page. SOLUTION: Check the type of module being referenced and the location of the reference. If necessary, correct the reference location. ERR: MULTIPLE_HTML_TAG_NESTS MSG: In (value): a single HTML document may not contain multiple tags. DESCRIPTION OF ERROR: Your submission document contains more than one tag combination. SOLUTION: Remove the additional HTML tags, re-enclose the document, and retransmit your submission. ERR: NESTED_TABLES_NOT_ALLOWED MSG: In (value): nested tables are not allowed. DESCRIPTION OF ERROR: Your HTML submission document contains a nested table. SOLUTION: Correct the HTML submission document, re-enclose the document, and retransmit your submission. ERR: NEW_COMPANY_NAME MSG: Filer (value) attempted to change the company name to (value). DESCRIPTION OF ERROR: This message is associated with our processing of the filing and we will have to intervene to ensure proper resolution. SOLUTION: This message indicates a need for us to take action to address the name change. It is included as a message back to the filer that the name change was not performed because other errors have been found. ERR: NO_FILE_NUM_WITH_CORRECT_PREFIX MSG: CIK (value) has no previous file number with a prefix of (value). DESCRIPTION OF ERROR: The filing is being BLOCKED because the assignment of a file number to the filing depends on the existence of a previous filing with a file number having the specified prefix for the specified filer. SOLUTION: Correct the filing and resubmit. ERR: NO_REPORTING_FILE_NUMBER MSG: CIK (value) does not have a Reporting File Number, so a file number cannot be assigned to the filing. DESCRIPTION OF ERROR: The specified filer does not yet have a Reporting File Number. SOLUTION: Correct the filing and resubmit. ERR: NOT_WORLD_BANK_CIK October 2002 A-17 Filer Manual Volume I MSG: CIK (value) is not a World Bank CIK. DESCRIPTION OF ERROR: Only the World Bank may submit this submission type. We maintain the specific list of CIKs that are valid for this submission type. Any CIKs that are not on the list may not submit these submission types. SOLUTION: If the CIK you supplied is incorrect, correct it. Otherwise, do not file this submission type. Contact us for additional information. ERR: NO_VALID_DOCUMENT MSG: (Value) submission does not include a valid document specification. DESCRIPTION OF ERROR: Your submission is missing a valid document. SOLUTION: Check submission document's validity and retransmit. ERR: NO_VALID_PRIMARY_DOCUMENT MSG: Submission does not have a valid primary document. DESCRIPTION OF ERROR: The primary submission document is not valid. SOLUTION: Correct the submission document and retransmit your submission. ERR: NSAR_ERROR_CHECK MSG: In (value): (value). DESCRIPTION OF ERROR: Your submission contains an N-SAR document, answer.fil that contains errors or has not been error checked. SOLUTION: Error check and correct if necessary, your N-SAR document, re-enclose the document, and retransmit your submission. ERR: OFIS_MANUAL_FEE_REVIEW MSG: Submission has been blocked for manual fee review. DESCRIPTION OF ERROR: This message is associated with our processing of the filing and will require our intervention for proper resolution. SOLUTION: Contact us for additional information you may need to resolve this problem. WRN: ORPHAN_XFDL_MIME_DOCUMENT MSG: Improperly constructed XFDL submission file. The file has a MIME data node (value) for document (value). However, this document is not included on PAGE2 of the submission file. DESCRIPTION OF ERROR: Your submission contains an extra document with no name or type designation. SOLUTION: Enter document name and type or delete extra document. Filer Manual Volume I A-18 October 2002 ERR: PREVIOUSLY_ACCEPTED_FILING_EXISTS MSG: Already have a previously accepted (value) filing for CIK (value). DESCRIPTION OF ERROR: A filer of a 10-12B, 10SB12B, 18-12B, 20FR12B, 40FR12B, 8-A12B, 8K12B submission has already had a 40-8F variant submission accepted by EDGAR. This submission is blocked for OFIS review. SOLUTION: OFIS will review this BLOCK situation to resolve the issue. ERR: REGULATED_ENTITY_CIK MSG: (value) CIK (value) belongs to a Regulated Entity. This entity cannot file electronically. DESCRIPTION OF ERROR: For an electronic submission, the primary filer or a coregistrant is a Regulated Entity. This is not permitted. SOLUTION: Resubmit the electronic submission with CIKs that do not belong to Regulated Entities. ERR OR WRN REQUIRED_TAG_MISSING MSG: Required tag is missing. DESCRIPTION OF ERROR OR WARNING: The indicated tag was not found, but is required for acceptance. SOLUTION: Add the required tag. ERR: SEGMENT_EXPIRED_ERROR MSG: Referenced segment (value) is expired for CIK (value). DESCRIPTION OF ERROR: You must reference a segment within six days after you submit it. If you attempt to reference the segment after six (6) days have elapsed, EDGAR will issue this error. SOLUTION: Re-submit the segment and the filing, or remove the segment reference and resubmit the filing. ERR: SEGMENT_EXPIRED_ERROR MSG: In (value): referenced segment (value) for CIK (value) is expired. DESCRIPTION OF ERROR: The referenced segment does not exist because it has been more than six (6) business days since you transmitted it. SOLUTION: Retransmit the segment and your submission. ERR: SEGMENT_NOT_FOUND MSG: Referenced segment (value) does not exist for CIK (value). DESCRIPTION OF ERROR: The filing contains a reference to a segment that does not presently exist in EDGAR for the referencing CIK. SOLUTION: Check the name of the segment in reference for accuracy. Correct if necessary, or submit the missing segment and re-submit the filing. October 2002 A-19 Filer Manual Volume I ERR: SEGMENT_NOT_FOUND MSG: In (value): referenced segment (value) does not exist for CIK (value). DESCRIPTION OF ERROR: The referenced segment is not owned by the referenced CIK. SOLUTION: Correct the segment and retransmit the segment and your submission. ERR: SEGMENT_REF_DOC_TYPE_ERROR MSG: Segment (value), which is really (value), is of the same type (value) as the submission but is not a PDF document. DESCRIPTION OF ERROR: A segment reference, which is made via the segment’s nickname, is actually to a non-PDF file that is of the same type as the submission. That is, an attempt was made to use a segment as the submission’s primary document. EDGAR does not support this capability. ERR: SEGMENT_REFERENCE_ERROR MSG: In (value): illegal reference to segment (value). This is really a reference to the file (value), which is not a Type 1 ASCII segment. DESCRIPTION OF ERROR: The referenced segment is not a Type 1 ASCII segment. SOLUTION: Create and retransmit the Type 1 segment and your submission. SOLUTION: Correct the segment document and/or the submission and resubmit. ERR: SEGMENT_REFERENCE_ERROR MSG: In (value): a SEGMENT reference is improperly specified. (value) DESCRIPTION OF ERROR: Your submission document contains an improper Type 1 segment reference. SOLUTION: Correct the segment reference, re-enclose the document, and retransmit your submission. ERR: SEGMENT_REFERENCE_TYPE_ERROR MSG: Type (value) segment (value) is invalid in context. Type (value) is permissible. DESCRIPTION OF ERROR: A segment reference was encountered in the wrong context. Segments are of two types: 1. Type 1 consists of a partial document. 2. Type 2 consists of one whole document. You must reference Type 1 segments only from within the body portion of a document. You must reference Type 2 segments on the Module/Segment List Page. SOLUTION: Check the type of segment being referenced and the location of the reference. If necessary, correct the reference location. Filer Manual Volume I A-20 October 2002 ERR: SEGMENT_USED_ERROR MSG: In (value): referenced segment (value) for CIK (value) has already been used. DESCRIPTION OF ERROR: You have referenced a segment twice. SOLUTION: Correct the segment reference and retransmit your submission. ERR: SEGMENT_USED_ERROR MSG: Referenced segment (value) previously used by CIK (value). DESCRIPTION OF ERROR: The filing contains a reference to a segment that has already been used by the referencing CIK. A segment may only be used once, even within a single filing. Used segments are deleted from EDGAR. SOLUTION: Check the name of the referenced segment for accuracy. Correct if necessary and re-submit. If the segment name is correct in the reference but the segment was submitted and refused because of the duplicate name, either wait until the next day to re-submit the segment and filing, or change the name of the segment and submit the segment and the filing with the reference name changed as well. WRN: TAG_NOT_REPEATABLE MSG: (Value) tag is duplicated. DESCRIPTION The submission file has multiple data values in a field (XFDL tag) that is only OF WARNING: permitted to have a single value. SOLUTION: The submission will not be suspended for this. To correct this, the filer needs to delete all but one value for the field. ERR or WRN: TAG_VALUE_MISSING_OR_INVALID MSG: Value for (value) is missing or invalid (value). DESCRIPTION OF ERROR OR WARNING: The value for the (value) specified is incorrect or missing. Common occurrences of this error include incorrect coding or omitting the value for the , , , , or tags when these tags are required for the filing. This error will appear as a warning when the value following an optional tag is missing or invalid or when the value following a tag within a document is missing or invalid. SOLUTION: Insert or correct the tag value. You must re-submit the corrected filing in its entirety. ERR: TEXT_EXCEEDS_80_CHARACTERS MSG: In (value): a text line exceeds 80 characters. DESCRIPTION OF ERROR: Your submission document contains text that is wider than 80 characters. SOLUTION: Reduce the width of your document, re-enclose, and retransmit your submission. October 2002 A-21 Filer Manual Volume I ERR: TEXT_EXCEEDS_132_CHARACTERS MSG: In (value): a text line exceeds 132 characters DESCRIPTION OF ERROR: Your submission document contains a table wider than 132 characters. SOLUTION: Reduce the width of the table, re-enclose, and retransmit your submission. ERR: TOO_FEW_S_AND/OR_C_TAGS MSG: In (value): a TABLE section has less than two and/or tags. DESCRIPTION OF ERROR: Your HTML submission document has a table that is incorrectly designed. SOLUTION: Correct the table structure, re-enclose the document, and retransmit your submission. ERR: TOO_MANY_DOCUMENTS MSG: (value) submission has (value) (value) documents exceeding the allowable limit of (value). DESCRIPTION OF ERROR: Submission contains too many documents of a particular type. SOLUTION: Remove the extra documents from the submission and resubmit. ERR: TOO_MANY_MODULES MSG: Module (value) cannot be accepted because (value) modules for CIK (value) already exist. Prior to re-submitting module (value) delete at least one of the following (value) modules (value). DESCRIPTION OF ERROR: The number of modules already submitted by the filer, when combined with the number of new modules coming in with this submission, exceeds the current maximum of ten modules per CIK. SOLUTION: Delete existing modules or remove modules from the incoming submission to get the total number below ten. ERR: TRAINING_CIK MSG: Value for (value) is assigned to Training Agent (value). DESCRIPTION OF ERROR: The submission was designated as LIVE but one of the registrants is a Training Agent. SOLUTION: Change the submission to TEST or remove the Training Agent as a registrant and then resubmit. ERR: UNREADABLE_SUBMISSION_FILE MSG: Receipt Server cannot read submission file: (value). DESCRIPTION OF ERROR: This error is generated for an unprocessable submission. SOLUTION: Check that you compiled your submission correctly and that you have the latest EDGARLink software and templates. Filer Manual Volume I A-22 October 2002 ERR: UNREFERENCED_GRAPHIC_DOCUMENT MSG: In (value): this graphic document must be referenced by an HTML link. DESCRIPTION OF ERROR: A graphics (.jpg or .gif) document included in the submission as either a document or a referenced module or segment must be referenced via an HTML link. SOLUTION: Either reference the graphic document via an HTML link or remove the graphics document from the submission and resubmit. ERR: UNRESOLVED_HTML_LINK MSG: In (value): contains an unresolved link to (value). DESCRIPTION OF ERROR: All link references from within an HTML document must match the designated Filenames of the referenced documents. Any link within an HTML document that does not meet this standard will cause EDGAR to issue this error. SOLUTION: Please name all of your attached documents that are referenced by links within an HTML document. You must use only SEC-approved Filenames for your referenced documents WRN: VALUE_IN_HIDDEN_FIELD MSG: Hidden field (value) contains a value. DESCRIPTION OF ERROR: A hidden field in EDGARLink contains an entry. SOLUTION: Open the submission, remove text from the field, and retransmit. October 2002 A-23 Filer Manual Volume I APPENDIX E A. Filing Fee Information You must pay filing fees when you submit most registration statements under the Securities Act of 1933 and transactional filings such as merger proxy statements under the Securities Exchange Act of 1934. You do not pay an initial registration fee for mutual fund and unit investment trust registration statements, but you pay fees each year when you file your Form 24F-2. Note: When you transmit a test submission, EDGAR checks your Mellon Bank fee deposit and informs you if you are lacking your fees. You must follow the procedures outlined below to send fees electronically to Mellon Bank in Pittsburgh, Pennsylvania. E.1 Where to Pay Filing Fees Paper Filers: If you are submitting a filing in paper, you may either send the fee by wire transfer or check to Mellon Bank, or directly to the Commission at 450 Fifth Street, N.W., Washington D.C. 20549. We cannot accept personal checks for payment of fees. Electronic Filers: If you are submitting a filing electronically or in paper under a hardship exemption, you MUST send the fee to Mellon Bank in Pittsburgh, Pennsylvania. You may make the payment to Mellon by wire transfer, mail or hand delivery. Mellon Bank is the U.S. Treasury designated depository of SEC filing fees. The hours of operation at Mellon Bank are 8:30 a.m. to 6:00 p.m. Eastern time for wire transfers. Please allow sufficient time to complete your fee transactions prior to submitting filings that require fees. We will not accept your filing if we have not received sufficient funds when you file. We will, however, accept a rule 462(b) filing submitted between 5:30 p.m. and 10:00 p.m. Eastern time if the fee is received no later than the close of business on the next business day. E.2 How to Send Filing Fees to Mellon Bank Specific instructions on the various methods of making fee payments to Mellon Bank are as follows: (a) Wire Transfer: Any bank or wire transfer service may initiate wire transfers of filing fee payments through the FEDWIRE system to Mellon Bank. You do not need to establish an account at Mellon Bank in order to remit filing fee payments. You must include the SEC’s account number at Mellon Bank (9108739); and the payor’s SEC-assigned CIK (Central Index Key) number (also known as the SEC-assigned registrant or payor account number) in the wire transfer. To ensure proper credit and prompt filing acceptance you also must follow the FEDWIRE Instructions precisely and provide the required information in the proper format. You may obtain a copy of the October 2002 A-1 Filer Manual Volume I FEDWIRE Instructions at the following Internet address: (www.sec.gov/info/edgar/fedwire.htm) (b) Mail and Hand Delivery: For mail or hand delivery of fee payments, you should: • make checks and money orders payable to the Securities and Exchange Commission, omitting the name or title of any official of the Commission; and • include on the front of the check or money order the SEC’s account number (9108739) and CIK number of the account to which the fee is to be applied. You must address fees you transmit by mail to the Securities and Exchange Commission, Post Office Box 360055M, Pittsburgh, Pennsylvania 15252. You hand deliver fee payments to Mellon Bank, 27th floor, Three Mellon Bank Center, Fifth Avenue at William Penn Way, Pittsburgh, Pennsylvania on weekdays from 7:30 a.m. to 4:00 p.m. (Eastern time). You cannot hand deliver a fee payment on a federal holiday. You must place all hand deliveries in a sealed envelope, with the Commission’s lockbox number, 360055M, and the Commission’s account number (9108739) written on the outside. You must include with all cash payments a separate sheet of paper providing the same information specified for checks and money orders. E.3 Filings that Require Filing Fees E.3.1 1933 Act Filings by Corporations You must pay a filing fee with the following 1933 Act filings: F-1 F-2D F-4EF F-8 S-1 S-3 S-8 F-10 F-3 F-6 F-80 S-11 S-3D S-B F-10EF F-3D F-6EF F-9 S-2 S-4 SB-1 F-2 F-4 F-7 F-9EF S-20 S-4EF SB-2 You also must pay a fee with all rule 462(b) filings - submission types with a "MEF" suffix. You will be required to pay a filing fee on pre-effective amendments to registration statements (e.g., S-1/A) if additional securities are being registered in the amendment. Since you cannot register additional securities by post-effective amendment, no fee is required for these filings (e.g., S8POS). E.3.2 1934 Act Filings You must pay a filing fee [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/agency%3Asec%3A253571e4fa3c8fc7. Public record. Not legal advice.