# Filer Manual – Volume II > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/agency%3Asec%3A5f166dd583abc5c2 ## Record - **Collection:** Agency decision - **Document type:** Agency decision ## Text Filer Manual – Volume II EDGAR Filing VERSION 69 March 2024 Notice Comply with the requirements of the EDGAR Filer Manual when making electronic filings with the SEC. See Rule 301 of Regulation S-T. The EDGAR Filer Manual consists of two volumes. EDGAR Filer Manual, Volume I: “General Information,” includes the requirements for becoming an EDGAR filer and maintaining EDGAR company information. EDGAR Filer Manual, Volume II: “EDGAR Filing,” sets forth the process to submit an online filing. For up-to-date information regarding filing-related topics, consult the following EDGAR websites: • Information for EDGAR Filers (https://www.sec.gov/info/edgar.shtml) • EDGAR Gateway to submit filings (https://www.portal.edgarfiling.sec.gov) • EDGAR Company Database (https://www.edgarcompany.sec.gov) EDGAR® and EDGARLink® are registered trademarks of the SEC. All other product brand names mentioned in this Filer Manual are trademarks or registered trademarks of their respective holders. To protect the privacy of our filing community, please do not include social security numbers in filings submitted to the Commission. Updates On March 18, 2024, EDGAR Release 24.1 will introduce the following changes: • Chapter 6 of the EDGAR Filer Manual, Interactive Data, will be revised to remove technical and instructional details of XBRL formatting and validation. The information to be removed from Chapter 6 consists of technical specifications and guidance that filers will be able to consult in a new EDGAR XBRL Guide on SEC.gov. The revised Chapter 6 will present XBRL content in a concise fashion and will continue to complement Chapter 3, Index to Forms, by identifying different XBRL formatted documents associated with relevant EDGAR form and submission types. The revised Chapter 6 will also make clear that Interactive Data submissions in EDGAR use the Extensible Business Reporting Language (“XBRL”) information model and explain the use of taxonomies and instances which comprise this model. Guide available at http://www.sec.gov/files/edgar/xbrl-guide.pdf. • EDGAR will allow filers to file submission form types 11-K, 11-KT, 11-K/A, and 11KT/A in Inline XBRL format. See Release 33-11070, Updating EDGAR Filing Requirements and Form 144 Filings, adopted, June 2, 2022. See also, EFM Vol. II, Chapter 6. • Filers will be able to file submission form types 17AD-27 and 17AD-27/A in an Inline XBRL format that includes the data elements described in Rule 17Ad-27(b)(1) through (5). These form types will allow the filer to request confidential treatment on sections of the document that the filer does not want to be publicly disseminated. See Release 3496930, Shortening the Securities Transaction Settlement Cycle, adopted February 15, 2023. See also, EFM Vol. II, Chapter 5.2.5. • EDGAR will accept the 2024 versions of the following taxonomies: o US-GAAP, SRT (published by FASB) o CEF, COUNTRY, CURRENCY, DEI, ECD, EXCH, FFD, FND, NAICS, OEF, RXP, SIC, SNJ, SRO, STPR, VIP (published by SEC) o See https://www.sec.gov/edgar/information-for-filers/standard-taxonomies for a complete list of supported standard taxonomies. • EDGAR will accept validations based on FASB’s 2024 XBRL US Data Quality Committee Rules Taxonomy (DQCRT). • References to submission types F-SR and F-SR/A, Exhibit 26 of Form 10-K and 10-Q, and the SHR taxonomy were removed from the EDGAR Filer Manual as a result of the EDGAR Filer Manual (Volume II) i March 2024 United States Court of Appeals for the Fifth Circuit ruling1 vacating the Share Repurchase Disclosure Modernization rule. Further, the SHR taxonomy has been removed from EDGAR. • The EDGAR Filer Manual will be revised to include references to SC 13D, SC 13G, SC 13D/A, SC 13G/A, SCHEDULE 13D, SCHEDULE 13D/A, SCHEDULE 13G, and SCHEDULE 13G/A as submission types that will have a “Filing Date” identical to the EDGAR “Received Date” even if received after 5:30 p.m. Eastern Time, and will be disseminated until 10:00 p.m. Eastern Time. See EFM Vol. II, Chapter 3. • The EDGAR Filer Manual reference to 8-K and 1-U Items will be updated in Table 7-1: Information Fields Available on Main Page.” See EFM Vol. II, Chapter 7. On February 5, 2024, EDGAR Release 24.0.2 introduced the following changes: • The filing “cut-off” times were extended for Schedule 13D, Schedule 13G, and corresponding amendments, from 5:30 p.m. to 10:00 p.m. Eastern Time. These filings will have a “Filing Date” identical to the EDGAR “Received Date” even if received after 5:30 p.m. Eastern Time, and will be disseminated until 10:00 p.m. Eastern Time. On January 29, 2024, EDGAR Release 24.0.1 introduced the following change: 1 • The check box labeled “Attach Inline XBRL Fee Tagging Exhibit” on the EDGARLink Online “Documents” tab has been renamed to “Attach Inline XBRL Filing Fee Exhibit” for the 72 fee bearing submission types impacted.See EFM Vol. II, Chapters 4 and 7. • Submission type SC 13E1 has been updated to remove the “Is Fee Table/Exhibit included?” check box from the “Main” tab of the EDGARLink Online interface. As a result, filers are now required to attach an EX-FILING FEES exhibit attachment on a SC 13E1 filing. Chamber of Com of the USA v. SEC, 88 F.4th 115 (5th Cir., Dec. 19, 2023). EDGAR Filer Manual (Volume II) ii March 2024 Table of Contents PREFACE ................................................................................................................................. VIII Do you need to file through EDGAR? ....................................................................................................... viii Rules Governing Forms and Filing Information ........................................................................................ viii 1. INTRODUCTION TO VOLUME II................................................................................ 1-1 1.1 Organization of this Manual ......................................................................................................... 1-1 Conventions Used in the Filer Manual ......................................................................................... 1-1 2. QUICK GUIDE TO EDGAR FILING ............................................................................ 2-1 2.1 2.4 EDGAR Filing Process ................................................................................................................. 2-1 Using EDGARLink Online ........................................................................................................... 2-2 EDGAR Online Forms Website.................................................................................................... 2-3 After a Submission is Filed ........................................................................................................... 2-3 Filing Checklist ............................................................................................................................. 2-3 General Information for Filers ...................................................................................................... 2-5 Hours of Operation ....................................................................................................................... 2-5 Introduction to Web Browsers ...................................................................................................... 2-5 Accessing EDGAR ....................................................................................................................... 2-7 Getting Help with EDGAR ........................................................................................................... 2-7 EDGAR Gateway and Websites ................................................................................................... 2-8 3. INDEX TO FORMS .......................................................................................................... 3-1 3.1 3.2 Alpha/Numeric.............................................................................................................................. 3-2 Electronic Form Types by Act .................................................................................................... 3-33 4. FILING FEE INFORMATION ........................................................................................ 4-1 4.1 4.2 4.3 4.4 4.5 4.8 Where to Pay Filing Fees .............................................................................................................. 4-1 How to Send Filing Fees to U.S. Bank ......................................................................................... 4-2 How to Send Filing Fees Using Pay.gov ...................................................................................... 4-2 How to View Fee Account Information........................................................................................ 4-3 How to Request a Return of Unused Funds .................................................................................. 4-4 1933 Act Filings by Corporations ................................................................................................. 4-5 1934 Act Filings............................................................................................................................ 4-6 1933 and 1940 Act Filings by Investment Companies ................................................................. 4-6 How to Calculate a Filing Fee ...................................................................................................... 4-6 1933 Act Filings............................................................................................................................ 4-6 1934 Act Filings............................................................................................................................ 4-7 1939 Act Filings............................................................................................................................ 4-7 Example of Fee Calculation for 24F-2NT .................................................................................... 4-7 Offsetting Fees .............................................................................................................................. 4-8 Offsetting Fees Example ............................................................................................................... 4-8 Common Problems ....................................................................................................................... 4-9 5. CONSTRUCTING ATTACHED DOCUMENTS AND DOCUMENT TYPES .......... 5-1 5.1 Introduction ................................................................................................................................... 5-1 2.2 2.3 4.6 4.7 EDGAR Filer Manual (Volume II) iii March 2024 5.2 5.3 5.4 File Naming Standards .................................................................................................................. 5-1 Statutory Signatures ...................................................................................................................... 5-1 Document Formats ........................................................................................................................ 5-3 ASCII Documents ......................................................................................................................... 5-3 HTML ......................................................................................................................................... 5-14 PDF ............................................................................................................................................. 5-27 Reserved...................................................................................................................................... 5-30 Inline XBRL Documents ............................................................................................................ 5-30 Preparing or Referencing Module and Segment Documents ...................................................... 5-41 Module and Segment Naming .................................................................................................... 5-42 Types of Modules and Segments ................................................................................................ 5-42 Maintaining Modules and Segments ........................................................................................... 5-45 Document Types in EDGAR ...................................................................................................... 5-49 Non-Public and Confidential ...................................................................................................... 5-49 Exhibits ....................................................................................................................................... 5-50 6. INTERACTIVE DATA ..................................................................................................... 6-1 6.1 6.3 6.4 6.5 6.6 Set Definitions .............................................................................................................................. 6-1 Submission Sets ............................................................................................................................ 6-1 Entity Sets ..................................................................................................................................... 6-4 Instance Types .............................................................................................................................. 6-4 Taxonomy Entry Points ................................................................................................................ 6-6 Entry Point Name and URL Conventions ..................................................................................... 6-6 Standard Taxonomies.................................................................................................................... 6-7 Instance Types and Standard Taxonomies .................................................................................... 6-8 Attachment types .......................................................................................................................... 6-9 Restrictions on EDGAR Modules ............................................................................................... 6-10 Errors, Suspension, and Rendering ............................................................................................. 6-10 7. PREPARING AND TRANSMITTING EDGARLINK ONLINE SUBMISSIONS .... 7-1 7.1 Introduction ................................................................................................................................... 7-1 Using the EDGAR Filing Website ................................................................................................ 7-2 Information on Headers ................................................................................................................ 7-9 Creating an EDGARLink Online Submission .............................................................................. 7-9 Accessing the EDGARLink Online Submission .......................................................................... 7-9 Viewing the Fee Rate .................................................................................................................. 7-12 Preparing Your EDGARLink Online Submission ...................................................................... 7-13 Submission .................................................................................................................................. 7-13 EDGARLink Online Submission Preparation Map .................................................................... 7-16 The EDGARLink Online Main Page .......................................................................................... 7-19 The EDGARLink Online Attached Documents List Page .......................................................... 7-42 The EDGARLink Online Notification Information Page ........................................................... 7-51 The EDGARLink Online Module/Segment Page ....................................................................... 7-52 The EDGARLink Online Series/Classes (Contracts) Information Page..................................... 7-55 The EDGARLink Online Fee Offset Information Page.............................................................. 7-65 6.2 7.2 7.3 EDGAR Filer Manual (Volume II) iv March 2024 7.9 The EDGARLink Online Offerings & Fees Page ....................................................................... 7-66 Preparing an Inline XBRL filing fees exhibit (EX-FILING FEES) ........................................... 7-78 Combining Form Types in a Single Submission ........................................................................ 7-85 Module and Segment Submissions ............................................................................................. 7-91 Correspondence Submissions and Documents ........................................................................... 7-93 Bulk Filing .................................................................................................................................. 7-93 CERT Submissions ..................................................................................................................... 7-94 Validating Your Submission ....................................................................................................... 7-95 Field Validation .......................................................................................................................... 7-95 Document Validation .................................................................................................................. 7-96 Submission Validation ................................................................................................................ 7-97 Editing Your Submission ............................................................................................................ 7-98 Submission Errors ....................................................................................................................... 7-99 Document Errors ......................................................................................................................... 7-99 Saving Your Submission............................................................................................................. 7-99 Transmissions to EDGAR........................................................................................................... 7-99 Transmitting Single Submissions ............................................................................................... 7-99 Transmitting Modules and Segments........................................................................................ 7-100 Transmitting Bulk Filings ......................................................................................................... 7-100 Test Submissions ...................................................................................................................... 7-101 Disseminating Draft Submissions ............................................................................................. 7-101 Disseminating Draft Registration Statements ........................................................................... 7-101 Disseminating Draft Offering Statements ................................................................................. 7-102 EDGAR Filing Website Help ................................................................................................... 7-104 EDGARLink Online Help......................................................................................................... 7-104 Common Problems ................................................................................................................... 7-105 8. PREPARING AND TRANSMITTING ONLINE SUBMISSIONS .............................. 8-1 8.1 EDGAR Online Forms Website – Online Filing Preparation ....................................................... 8-1 Online Forms Data Gathering Model ........................................................................................... 8-2 Navigating EDGAR – Logging into EDGAR Online Forms Website ......................................... 8-3 EDGAR Online Forms Menu Options .......................................................................................... 8-6 Creating an Online Section 16 Ownership Submission ................................................................ 8-8 File Form 144 Submission .......................................................................................................... 8-28 Completing a Form 144 Submission........................................................................................... 8-28 File Form D Submission ............................................................................................................. 8-38 Basic Information for Form D Submission ................................................................................. 8-39 Completing an Online Form D Submission ................................................................................ 8-44 Common Ownership Problems ................................................................................................... 8-67 EDGAR Filing Website .............................................................................................................. 8-68 EDGAR Filing Website Menu Options ...................................................................................... 8-68 General Information on Online Forms ........................................................................................ 8-69 File Regulation A Forms ............................................................................................................. 8-72 Completing a Regulation A Submission ..................................................................................... 8-74 File Form C ............................................................................................................................... 8-113 7.4 7.5 7.6 7.7 7.8 8.2 EDGAR Filer Manual (Volume II) v March 2024 Completing a Form C Submission ............................................................................................ 8-115 File Form Funding Portal .......................................................................................................... 8-135 Completing a Form Funding Portal Submission ....................................................................... 8-136 File Form 13H Submission ....................................................................................................... 8-154 Completing a Form 13H Submission ........................................................................................ 8-155 File Form 13F ........................................................................................................................... 8-169 Completing a Form 13F Submission ........................................................................................ 8-169 File Form 13F Confidential Treatment Request ....................................................................... 8-182 Completing a Form 13F Confidential Treatment Request Submission .................................... 8-182 File Municipal Advisor Forms .................................................................................................. 8-193 Completing a Municipal Advisor Form Submission ................................................................ 8-193 File Form SDR .......................................................................................................................... 8-237 Completing a Form SDR Submission ....................................................................................... 8-240 File SBS Entity Forms .............................................................................................................. 8-256 Completing an SBS Entity Submission .................................................................................... 8-257 Completing a Form X-17A-5 Part III Submission .................................................................... 8-288 File Form 17-H ......................................................................................................................... 8-299 Completing a Form 17-H Submission ...................................................................................... 8-299 Transfer Agent Forms ............................................................................................................... 8-310 Completing a Transfer Agent Form .......................................................................................... 8-313 Form N-CEN............................................................................................................................. 8-339 Completing a Form N-CEN ...................................................................................................... 8-343 Form ATS-N ............................................................................................................................. 8-396 Completing Form ATS-N ......................................................................................................... 8-400 Form 24F-2 ............................................................................................................................... 8-427 Completing a Form 24F-2......................................................................................................... 8-428 File Form N-PX ........................................................................................................................ 8-443 Completing a Form N-PX Submission ..................................................................................... 8-443 File Form N-PX Confidential Treatment Request .................................................................... 8-463 Completing a Form N-PX Confidential Treatment Request Submission ................................. 8-463 File Form N-CR ........................................................................................................................ 8-479 Completing a Form N-CR Submission ..................................................................................... 8-480 File Schedule 13D ..................................................................................................................... 8-498 Completing a Schedule 13D ..................................................................................................... 8-498 File Schedule 13G ..................................................................................................................... 8-520 9. FILER-CONSTRUCTED XML SUBMISSIONS ........................................................... 9-1 9.1 9.2 Filer-Constructed XML Technical Specifications ........................................................................ 9-1 Transmitting XML Submissions ................................................................................................... 9-2 Transmit XML as a Test Submission............................................................................................ 9-2 Transmit XML as a Live Submission ........................................................................................... 9-3 Transmission Status ...................................................................................................................... 9-5 EDGAR Filer Manual (Volume II) vi March 2024 MESSAGES REPORTED BY EDGAR ....................................................... A-1 RESERVED .................................................................................................... B-2 EDGAR SUBMISSION TYPES ................................................................... C-1 REFERENCE COPIES OF FORMS ........................................................... D-1 AUTOMATED CONFORMANCE RULES FOR EDGAR DATA FIELDS 1 EDGAR Filer Manual (Volume II) vii March 2024 PREFACE Welcome to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system of the U.S. Securities and Exchange Commission (SEC). EDGAR provides an electronic filing process for filers and filing agents submitting documents under the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, and the Investment Company Act of 1940 (collectively, “Acts”). This manual explains how you can file electronically with the SEC. The SEC accepts electronic submissions through the Internet. EDGAR will disseminate that information and you may view electronically submitted filings through commercial dissemination services by using the SEC’s Public Website (https://www.sec.gov/edgar/searchedgar/companysearch.html). Filings are also available for Web site viewing and printing in the Commission's Public Reference Room, 100 F Street NE, Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m. Do you need to file through EDGAR? Whether or not you need to submit filings on EDGAR will depend on the form type(s) you are required to submit. For those requirements, refer to Regulation S-T, Rule 101 [Mandated Electronic Submissions and Exceptions]. Rules Governing Forms and Filing Information EDGAR provides you with an electronic way to submit information to us. It does not change the content of what you submit. Regulation S-T mandates electronic submissions of filings by all domestic and foreign registrants. Regulation S-T also provides the general requirements and procedures for electronic filing. You can find Regulation S-T in the Code of Federal Regulations (17 CFR Part 232). You will also find Regulation S-T under the Division of Corporation Finance area on the SEC’s Public Website (https://www.sec.gov/divisions/corpfin/ecfrlinks.shtml). Regulation S-T is also available for Web site viewing and printing in the Commission's Public Reference Room, 100 F Street NE, Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m. EDGAR Filer Manual (Volume II) viii March 2024 INTRODUCTION TO VOLUME II 1. 1.1 Organization of this Manual This volume is divided into chapters and appendices. The paragraphs and subparagraphs are numbered for easy reference (e.g., 1.2, 5.6.1). The chapters of this volume primarily refer to the preparation of EDGAR submissions. When we reference EDGARLink Online, we are referencing the online application used to assemble EDGAR submissions online through EDGAR Filing Website. The following outline shows you where to find information in this volume. An index is also provided at the end of this document. CHAPTER 1 – Introduction CHAPTER 2 – Quick Guide to EDGAR Filing CHAPTER 3 – Index to Forms CHAPTER 4 – Filing Fee Information CHAPTER 5 – Constructing Attached Documents and Document Types CHAPTER 6 – Interactive Data CHAPTER 7 – Preparing and Transmitting EDGARLink Online Submissions CHAPTER 8 – Preparing and Transmitting Online Submissions CHAPTER 9 – Filer-Constructed XML Submissions APPENDICES: A Messages Reported by EDGAR This appendix provides information on acceptance, suspension, and EDGAR error messages, including all HTML/PDF error messages. B Reserved Reserved C EDGAR Submission Types This appendix provides a list of submission templates and the submission types within each submission template. It also contains sample submission template information. D Reference Copies of Forms This appendix provides information on www.sec.gov/forms where reference copies of forms can be viewed, downloaded, and printed. E Automated Conformance Rules for EDGAR Data Fields EDGAR recognizes specific values for certain fields in each submission template. This appendix provides information about the values you must provide in the specified format. Conventions Used in the Filer Manual As you read in this volume you should notice attributes assigned to certain types of text: March 2024 1-1 EDGAR Filer Manual (Volume II) • Instructions to press a key on a keyboard or click a button or tab on the screen appear in square brackets and in title case: • Press [Enter] • Click [Module/Segment] • Titles of check, dialog, and list boxes, fields, functions, options, processes, queries, reports, pages, tables, and windows appear in title case: • Submission Type list box • Name field • Company Information query • Menus, menu options, radio buttons, and statuses appear in title case and have double quotation marks around them: • “Test Filing” radio button • From the “Edit” menu, select “Copy” • “Busy” status • Directories and file names appear in bold text: • The C:\temp directory • r10q-630.txt (the file saved in ASCII) • Keystroke combinations appear between less-than and greater-than brackets and in upper case: • • • Internet Hyperlinks appear underlined and italicized: o https://www.portal.edgarfiling.sec.gov March 2024 1-2 EDGAR Filer Manual (Volume II) QUICK GUIDE TO EDGAR FILING 2. 2.1 EDGAR Filing Process This section is designed for the novice filer to explain the filing process and some of the terms that we will use throughout this manual. If you are familiar with EDGAR, then proceed to the index to find your submission type. A filer must use the EDGAR system when they have a filing obligation that requires an electronic form. They can also choose to use an electronic form for certain form types that may also be prepared in paper format. Increasingly, fewer forms are permitted via paper filing. All rules regarding which forms must be submitted electronically are found in Regulation S-T, General Rules and Regulations for Electronic Filings. A copy of this rule is available on the SEC’s Public Website at https://www.sec.gov/divisions/corpfin/ecfrlinks.shtml. The EDGAR system is comprised of a number of large computers that receive filings submitted by entities. An entity is one that files with the SEC. Entities may be unique companies that make Securities Act filings or individuals who make filings like Form 3 or 4. There are thousands of filings submitted to the EDGAR system each day. The system processes the filings according to rules defined by the SEC. Finally, if the documents are public, it transmits them to parties outside the SEC. Since there is a single internal SEC system processing these filings, filers must follow certain rules in preparing their filings so that they can be processed correctly. Once you know the Code of Federal Regulations (CFR) Form Type/Schedule/Rule that you must submit electronically as determined by the SEC Rules, you must determine the electronic submission type. On the EDGAR system, the submission is the envelope for all of the content you are sending in a single transmission. The submission type may tell the SEC and others viewing the filing something about the filing itself. For example, a Form 15 can have submission types of 15-12G and 15-15D. The different submission types are used by filers who have a filing obligation under different sections of the act. For example, the 15-12G filer would have registered a class of securities under Section 12(b) or 12(g). EDGAR filings may consist of a number of documents, both primary and secondary. The primary document is the document that contains the information required by the SEC for the CFR Form Type/Schedule/Rule being submitted. Examples of the primary document include documents like the 10-Q, 8-K, S-1, N-8A, or POS AMI. Many times filers want or need to supplement their primary document with other documents. These are called secondary documents. Secondary documents most commonly include cover letters or correspondence, although correspondence documents may be sent in as primary documents in a correspondence submission type. Sometimes filings can also include exhibits which have a number and/or letter designator, whose content is defined by the SEC. These exhibits can include things like a company charter, power of attorney, or underwriting agreements. March 2024 2-1 EDGAR Filer Manual (Volume II) All primary and secondary documents must be in certain standard electronic formats to be accepted by the EDGAR system. The EDGAR system accepts ASCII, HTML, XML and, in some cases, XBRL or PDF primary documents. If you include graphics in your HTML document, then you must also include the .jpg and .gif files that contain your graphics. Two other document formats can be used as unofficial copies: PDF2 and, in some cases, XBRL. You must follow all of the rules outlined in this manual with regard to formatting these documents regardless of the tool you use to prepare and transmit your submission. Using EDGARLink Online EDGARLink Online is an internet based online application. Filers can create a submission by entering header data and attaching filing documents in a single session. You must log in to the EDGAR Filing Website and indicate which form you would like to complete. Once you have all of your documents prepared, you can assemble your EDGARLink Online submission. Select the submission form type that you would like to file and you will be presented with questions and fields that need to be completed. This data will be added to your submission content and is commonly called the header or supplemental data. EDGARLink Online allows you to indicate whether the submission should be considered a live or test filing. A TEST filing allows you to make sure that the submission is correct by checking all of the assembled documents and applying EDGAR processing steps like determining the fee and checking your security codes. For a test submission, fees will not be deducted, the filing will not be disseminated, and your filing will not be considered an official filing. EDGARLink Online allows you to indicate whether you want to receive an exact copy of your filing after processing is complete. Submission contact information may be used by the Filer Support Branches or the SEC divisions or offices if there is an issue with your filing. Including this information allows us to get in touch with you quickly. Using the Notification Information page of the submission, you may add multiple e-mail addresses where you would like a notification message sent. Using other pages of the submissions, you may add secondary documents and provide fee information. You may save your filing to your local computer. As a final step, you must transmit the submission in the same Internet session. PDFs will qualify as an “official” document if they comply with specified criteria. Please refer to Section 5.2.3 – PDF for more information. 2 March 2024 2-2 EDGAR Filer Manual (Volume II) EDGAR Online Forms Website The EDGAR Online Forms Website tool is an Internet based online application. Filers can create an Ownership form by entering primary document data and the header data in a single session. You must log in to the EDGAR Online Forms Website and indicate which form you would like to complete. Answer all of the questions. All filings assembled on this site are considered live, so please be careful as you enter information. You will be able to review and correct information before you send it to the EDGAR system. Similar to EDGARLink Online submissions, you may include e-mail addresses for filing notifications. As a final step, you must transmit the submission in the same Internet session. After a Submission is Filed After you transmit your submission, the EDGAR system will provide you with an accession number. The accession number is a unique number that identifies your submission, which consists of (in sequential order): • ten digits, which are the CIK of the entity that logged in to submit the filing. • two digits, which define the current year. • final set of digits, which are assigned sequentially to the login CIK starting with one on the first business day of each year. It is important to use this number when reviewing the status of your filing or consulting with SEC divisions. After transmitting your submission, you may check on its status, and review e-mail notifications. In addition, if requested, you will receive messages via e-mail. The notification messages, which are identical to those you can retrieve via the Internet, include both the status of the submission and detailed error messages. EDGAR will either accept or suspend your filing. Acceptance means that the filing meets all of the EDGAR processing rules and, if live, the filing will be disseminated. Suspended means that the filing contains serious errors that you must correct. You can correct the errors and resubmit the filing. A suspended filing will not be disseminated nor will fees be deducted from your account. When the EDGAR system has completed the processing of your submission, if it is live and public, it will be transmitted electronically to a number of third parties. (Certain non-public documents will not be immediately disseminated but may be subsequently disseminated if they meet certain criteria.) Dissemination can often occur within seconds of your transmission. Private companies may post your filing on their websites for public use of their subscribers. The filings are also posted on the SEC’s Public Website. 2.2 Filing Checklist Please consult the following filing checklist in Table 2-1 to assist you with your filing. The checklist does not address all aspects of filing. Please consult the more detailed sections of the Filer Manual for specific guidance. March 2024 2-3 EDGAR Filer Manual (Volume II) Table 2-1: Filing Checklist Step Activity Completion 1 Check that you have access codes for the EDGAR system. If not, follow procedures in the EDGAR Filer Manual, Volume I, General Information, to obtain codes. 2 Review your company data on EDGAR to determine that it is up-to-date. If you are an Investment Company with existing series and classes (contracts), review your series and class information to insure that names, status and ticker symbols are up-to-date before you submit a filing. New series and classes (contracts) are to be added via a filing. Details are in the EDGAR Filer Manual, Volume I, General Information. Note: This data is used in creating header data in some filings and filing data in other types of filings. It is your responsibility to keep your company information current. 3 Determine the submission type you need to file and then find it in the indexes in Chapter 3, “Index to Forms.” This chapter will help you identify the website that should be used to prepare and submit your filing. 4 If your filing requires a fee, ensure that the funds are available in your account. See Chapter 4, “Filing Fee Information.” 5 Create documents that will be attached to the submission. See Chapter 5, “Constructing Attached Documents and Document Types.” Note: If you are using the EDGAR Online Forms Website, you do not need to create the primary document. EDGAR Filing Website 6 & 7 Access the EDGAR Filing Website and select the form type that you want to submit. See Chapter 7 for completing an EDGARLink Online Submission or Section 8.2 in Chapter 8 for completing an Online Form using the EDGAR Filing Website. Skip to step 8. EDGAR Online Forms Website 6 & 7 Access the EDGAR Online Forms Website and enter your form data. See Chapter 8 for details. Transmit after data entry and verification. Skip to step 10. 8 Transmit a test submission to the EDGAR system. For EDGARLink Online submissions, see Section 7.6.4, “Test Submissions;” for XML submissions, see Section 9.2.1, “Transmit XML as a Test Submission.” 9 Review your acceptance/suspense message to determine if changes are required. See Section 10.5, “Submission Information” for instructions. 10 Transmit a live submission to the EDGAR system. Make sure that a live file is created by having the live button clicked. For more details, refer to Section 7.6, “Transmissions to EDGAR” or Section 9.2.2, “Transmit XML as a Live Submission.” March 2024 2-4 EDGAR Filer Manual (Volume II) Step 11 Activity Completion Review your acceptance/suspense message. If necessary, correct errors and file again. See Section 10.5, “Submission Information” for instructions on reviewing your acceptance/suspense message. 2.3 General Information for Filers The SEC encourages all current and prospective EDGAR filers to visit the “EDGAR Information for Filers” webpage on SEC.gov. This webpage provides helpful introductory information, including a "How Do I?" guide with step-by-step instructions concerning filing on EDGAR and a Glossary of Commonly Used Terms, Acronyms and Abbreviations. Filers who are unable to find an answer to their question on the above webpage may contact Filer Support. Filer Support is available for general filing and technical information or assistance. You can reach Filer Support Staff at (202) 551-8900, Monday through Friday, except federal holidays, from 9 a.m. to 5:30 p.m. ET. Filer Support voicemail is available during off hours. Hours of Operation EDGAR is available for filings and changes to company information each business day, Monday through Friday, from 6:00 A.M. to 10:00 P.M., Eastern Time. Transmissions to EDGAR submitted before 10:00 P.M. Eastern Time will be processed. EDGAR is unavailable after 10:00 P.M. Eastern Time and all transmissions after that time will have to be submitted the next business day. Introduction to Web Browsers The EDGAR system uses web-based technology to make submitting filings easier and faster. Web browsers read code called Hypertext Mark-up Language (HTML). Many people have become familiar with HTML since they have used the Internet. We use a browser as an integral part of EDGAR, providing our interface to the EDGAR Filing Website. 2.3.2.1 Browser Differences Microsoft Edge and Google Chrome browsers (current versions) may be used to reach the EDGAR websites. Which browser you use is a personal preference. This section covers some functions that are innate to browsers and how your browser should be set up. You should be aware that there might be subtle differences if you are using Microsoft Edge or Google Chrome. Browsers have very similar navigation functions: [Back], [Forward], [Stop], and [Reload] buttons, Current Address Location fields, as well as buttons for performing other functions such as printing and saving. The biggest differences between the browsers are visual elements, such as buttons, menu options, and the location of preference settings. In addition, browsers behave differently in how they save or download files. To change default Google Chrome download/save settings, select “Settings” from the icon at the top right corner of the browser with the “Customize and control Google Chrome” help message; this will cause the “Settings” tab to open in the same browser window. In the “Settings” tab, click [Show advanced settings]. Under “Downloads,” select the “Ask where to save each file March 2024 2-5 EDGAR Filer Manual (Volume II) before downloading” check box. Choosing this setting prompts you for a location each time you save or download a file. For detailed information on your browser, see your browser's user manual or help function. The browser window works similarly to all windows, in that it can be maximized, minimized, and sized. The default menu bar contains buttons that help you navigate the Internet; however, these buttons do not necessarily help you navigate EDGAR. For the purposes of logging into EDGAR, downloading files, submitting filings and company queries, or updating company information, these buttons do not apply. Some of the functions you can use are Bookmark, to mark the EDGAR Login page for easy accessibility; Back, to correct, add, or remove criteria from a query; and Security, to turn on or off your security functions. Microsoft Edge and Google Chrome are the supported browsers for the EDGAR Filing Website, EDGAR Filer Management, and EDGAR Online Forms Management websites. We recommend that you do not use multiple browser windows or tabs when working on EDGAR. Otherwise, information from one window may impact information on other window(s) causing EDGAR applications to potentially function incorrectly. If you want to use multiple windows when working on EDGAR, you must select “New Session” (for Microsoft Edge) from the “File” menu. This creates a new browser session that will not share information with the existing session. March 2024 2-6 EDGAR Filer Manual (Volume II) Accessing EDGAR To access EDGAR, you must have EDGAR access codes. New filers and filers who want to file in another capacity (e.g., filing agent or training agent) must use Form ID to apply for EDGAR access codes. The Form ID application must be filed electronically through the EDGAR Filer Management Website and include a notarized authentication document in PDF format. If you do not attach the required notarized authentication document as a PDF to Form ID, we cannot accept your application. Details of this process are covered in Volume I. Once you have obtained your access codes, you will be ready to log in to EDGAR, transmit submissions, run company queries, update your company information, or change your password or CCC (CIK Confirmation Code). Getting Help with EDGAR For Procedural and Technical questions, contact Filer Support You can reach our Filer Support Branches in the Divisions at (202) 551-8900. The staff responds to general EDGAR questions like how to become a filer, the Form ID process, how to get to the websites, how to update filer information, filing of forms, and header tags. Filer Support is available each business day from 9:00 A.M. to 5:30 P.M. Eastern Time. Filer Support voicemail will be available during off hours. For general fee information, contact our Fee Account Services Branch in the Office of Financial Management at (202) 551-8900. For Substantive questions, contact your Division or Office For filing content, rule interpretations, filing date adjustments, and hardship exemption requests, contact the division or office that reviews the filing during normal business hours 9:00 A.M. to 5:30 P.M., Eastern Time. Division of Corporation Finance: Filers that have substantive questions related to filings reviewed by the Division of Corporation Finance should contact the appropriate Division Office, based on the area of concern. Filers that have an issue with a submitted and accepted document should follow the relevant procedures outlined in https://www.sec.gov/edgar/filer-information/how-do-i. Division of Trading and Markets: For help with Form ATS-N filings, Form 13H, or Form CF, contact the Division of Trading and Markets at TradingAndMarkets@sec.gov or (202) 551-5777. For help with Forms SBSE, SBSE-A, SBSE-BD, SBSE-C, SBSE-W, and SBSE-CCORPT, contact the Division of Trading and Markets at TradingAndMarkets@sec.gov or (202) 551-5777. For help with filing Form X-17A-5 Part III electronically, please review the instructions for the Electronic Filing of Broker-Dealer Annual Reports. For help with filing Form 17-H, please review the instructions for the Electronic Filing of Form 17-H. March 2024 2-7 EDGAR Filer Manual (Volume II) Division of Investment Management: For institutional investment manager filings on Form 13F or Form N-PX, call the IM Chief Counsel’s Office inquiry line at: (202) 551-6825. For investment company filings, call the IM EDGAR inquiry line: (202) 551-6989. For questions concerning post-acceptance corrections and withdrawals, first review “Correct, withdraw, or delete a filing” in EDGAR—Information for Filers, How Do I. For questions concerning series and classes (contracts), first read our notice, Series and Class (Contract) Notice and FAQ’s or call the IM EDGAR inquiry line at (202) 5516989. Office of Municipal Securities: For help with the municipal advisor registration forms (Forms MA, MA-I, MA-NR, and MA-W), contact the Office of Municipal Securities at (202) 551-5680. Office of Credit Ratings: For help with Form NRSRO and reports filed pursuant to Rule 17g-3 under the Exchange Act, contact the Office of Credit Ratings by e-mail at NRSROsubmissions@sec.gov or by phone at (212) 336-9080. 2.4 EDGAR Gateway and Websites The SEC maintains a number of websites and URLs to support the filing process. As we have developed more sites and URLs, it has become more complicated for filers to find the correct location for any single activity. To alleviate this problem, we developed the EDGAR Gateway to act as an interface between all EDGAR websites and URLs. By choosing the link that describes what you want to do, you can connect to the correct resource to accomplish your task. You can reach the EDGAR Gateway by using the following URL: https://www.portal.edgarfiling.sec.gov You can use links on this URL to access the websites or URLs. If you only remember one EDGAR website, this is the one to remember. The other EDGAR websites and/or URLs as well as their uses are as follows: March 2024 2-8 EDGAR Filer Manual (Volume II) URL Name https://www.edgarfiling.sec.gov Prepare and transmit EDGARLink Online Form filings Prepare and transmit Regulation A Forms, Regulation Crowdfunding Forms, Form 13H, Form 13F, Form ATS-N, Form SDR, Security-based Swap Entity Form filings, Form X17A-5 Part III, Form 17-H, Municipal Advisor Form filings, Transfer Agent Forms, Form N-CEN, Form 24F-2, Form NPX, Form 13F-CTR, Form N-PX CTR, and Form N-CR Transmit XML Filer-Constructed Submissions Updates of Entity Information Filing Status and E-mail Notifications View the Fee Rate Table EDGAR Filing Website https://www.onlineforms.edgarfiling.sec.gov Prepare and transmit Ownership filings Prepare and transmit Form 144 filings Prepare and transmit Form D Filings Transmit XML Filer-Constructed Submissions Updates of Entity Information Filing Status and E-mail Notifications EDGAR Online Forms Website https://www.filermanagement.edgarfiling.sec.gov Apply for EDGAR Access (New) Generate Access Codes (New/Replacement) Update Passphrase Apply for EDGAR Access: Applicants With a CIK but Without EDGAR Access Codes (formerly “Convert Paper Only Filer To Electronic Filer”) EDGAR Access for New Serial Companies Download the Filer Manual EDGAR Filer Management Website https://www.edgarcompany.sec.gov Public Access to company information EDGAR Company Database March 2024 2-9 EDGAR Filer Manual (Volume II) URL Name https://www.sec.gov Access to filings Information on Existing Rules Information on Proposed Rules Download the Filer Manual Frequently Asked Questions Download Filer-Constructed Technical Specifications SEC’s Public Website Please note that there may be more than one URL or website to help you with a single task. For example, there are two URLs where you can change entity data and download the Filer Manual. Please be very careful in linking to the websites. Some are preceded by https: and you will not be allowed access to a secure site without this designator. You should use the Favorites feature built into Microsoft Edge to store the URLs for the sites you use frequently. March 2024 2-10 EDGAR Filer Manual (Volume II) 3. INDEX TO FORMS As a filer, you will first need to determine whether you must meet your filing obligation via EDGAR. The SEC Rules, particularly Regulation S-T, General Rules and Regulations for Electronic Filings, outline which filings are mandated as electronic. This means that they must be filed on EDGAR unless there is a case for Temporary or Continuing Hardship. (The rules for each form and hardship exemptions may differ, so please see the regulation for specific information.) Once you determine the form you need to file is electronic, then you need to identify the submission type to use. For each submission type, there are specific tools that you can use. As the EDGAR system has evolved using new technologies, tools have been added, changed, and sometimes updated. There is no longer a single tool for preparing an EDGAR submission. Your guide to the tools is this index. The first index allows you to lookup EDGAR electronic submission types easily if all you know is the submission form type. Included in the last two columns is detailed information about the tools that are used to create and/or assemble the filing. The second index is easiest to use if you are more comfortable looking up your submission type by Act. Before using the indexes, it is important to understand the difference between the Code of Federal Regulations (CFR) Form/Schedule/Rule column reference and the EDGAR Submission Type column. The index entries under the CFR Form/Schedule/Rule column refer to the titles of the actual Form, Schedule or Rule named in the CFR. The Submission Type refers to Form variations filers use on the electronic filing system to fulfill their filing obligation. For example, the paper Form 15 is implemented on EDGAR as a number of different submission types including: 15-12G and 15-15D. The last three digits represent the section of the 34 Act under which the filer is obligated to file periodic reports. Using either Index, find the submission type, check that the description of the form matches your understanding of the purpose of the form, and identify the tool that should be used to create the form. The options in this column are EDGARLink Online, EDGAR Filing Website, EDGAR Filing Website Online Forms and Online Forms. There is a section in this manual describing in detail each of these tools. Chapter 7, “Preparing and Transmitting EDGARLink Online Submissions,” describes EDGARLink Online. Chapter 8, “Preparing and Transmitting Online Submissions,” describes online submissions using the EDGAR Online Forms Website and EDGAR Filing Website. The column entitled Filer-Constructed Technical Specifications should only be used by filers who want to create their submissions without the use of EDGAR tools on the EDGAR Filing Website. These Technical Specifications are available on the SEC’s Public Website. The Technical Specifications are delivered separately and are not part of the Filer Manual. Note: In Section 3.1, “Alpha/Numeric” for simplicity we include both the initial form and the associated amendment in the Submission Type column. March 2024 3-1 EDGAR Filer Manual (Volume II) 3.1 Alpha/Numeric Submission Type Tool/ Template Number Description FilerConstructed Form Spec. 1-A, 1-A/A Offering statement under Regulation A EDGAR Filing Website EDGAR REG A XML Technical Specification 1-A POS Post-qualification amendment to a 1-A offering statement EDGAR Filing Website EDGAR REG A XML Technical Specification 1-A-W, 1-A-W/A Withdrawal of offering statement under Regulation A EDGARLink Online EDGARLink Online XML Technical Specification 1-E, 1-E/A Notification under Regulation E by small business investment companies and business development companies. EDGARLink Online EDGARLink Online XML Technical Specification 1-E AD, 1-E AD/A Sales material filed pursuant to Rule 607 under Regulation E. EDGARLink Online EDGARLink Online XML Technical Specification 1-K, 1-K/A Annual Report Pursuant to Regulation A EDGAR Filing Website EDGAR REG A XML Technical Specification 1-SA, 1-SA/A Semiannual Report Pursuant to Regulation A EDGARLink Online EDGARLink Online XML Technical Specification 1-U, 1-U/A Current Report pursuant to Regulation A EDGARLink Online EDGARLink Online XML Technical Specification 1-Z, 1-Z/A Exit Report under Regulation A EDGAR Filing Website EDGAR REG A XML Technical Specification 1-Z-W, 1-Z-W/A Withdrawal of Exit Report under Regulation A EDGARLink Online EDGARLink Online XML Technical Specification March 2024 3-2 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 253G1 Reflects information previously omitted from the offering circular in reliance on Rule 253(b) EDGARLink Online EDGARLink Online XML Technical Specification 253G2 Reflects information that constitutes a substantive EDGARLink change from or addition to the information set forth in Online the last offering circular EDGARLink Online XML Technical Specification 253G3 Reflects information covered in both 253G1 and 253G2 EDGARLink Online EDGARLink Online XML Technical Specification 253G4 Reflects information covered in 253G1, 253G2 or 253G3 that is not being timely filed EDGARLink Online EDGARLink Online XML Technical Specification 2-E, 2-E/A Report of sales of securities pursuant to Rule 609 under Regulation E. EDGARLink Online EDGARLink Online XML Technical Specification 10-12B, 10-12B/A Initial general form for registration of a class of securities pursuant to Section 12(b) EDGARLink Online EDGARLink Online XML Technical Specification 10-12G, 10-12G/A Initial general form for registration of a class of securities pursuant to Section 12(g) EDGARLink Online EDGARLink Online XML Technical Specification 10-D, 10-D/A Periodic distribution reports by asset-backed issuers pursuant to Rule 13a-17 or 15d-17 EDGARLink Online EDGARLink Online XML Technical Specification 10-K, 10-K/A Annual report pursuant to Section 13 and 15(d) EDGARLink Online EDGARLink Online XML Technical Specification 10-KT, 10-KT/A Transition report pursuant to Rule 13a-10 or 15d-10 EDGARLink Online EDGARLink Online XML Technical Specification 10-Q, 10-Q/A Quarterly report pursuant to Section 13 or 15(d) EDGARLink Online EDGARLink Online XML Technical Specification March 2024 3-3 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 10-QT, 10-QT/A Transition report pursuant to Rule 13a-10 or 15d-10 EDGARLink Online EDGARLink Online XML Technical Specification 11-K, 11-K/A Annual report of employee stock purchase, savings and similar plans EDGARLink Online EDGARLink Online XML Technical Specification 11-KT, 11-KT/A Transition report pursuant to rule 13a-10 or 15d-10 EDGARLink Online EDGARLink Online XML Technical Specification 13F-CTR, 13FCTR/A Form 13F Confidential Treatment Request filed by institutional managers EDGAR Filing Website Online Forms EDGAR Form 13F XML Technical Specification 13F-HR, 13F-HR/A Initial Quarterly Form 13F Holdings Report filed by institutional managers EDGAR Filing Website Online Forms EDGAR Form 13F XML Technical Specification 13F-NT, 13F-NT/A Initial Quarterly Form 13F Notice Report filed by institutional managers EDGAR Filing Website Online Forms EDGAR Form 13F XML Technical Specification 13H, 13H-Q, 13H-A, 13H-I, 13H-R, 13H-T Large Trader Registration Information Required of Large Traders Pursuant to the Securities Exchange Act of 1934 and Rule 13h-1 Thereunder. Initial Filing (13H), Amended Filing (13H-Q), Annual Filing (13HA), Inactive Status (13H-I), Reactivated Status (13HR), and Termination Filing (13H-T) EDGAR N/A Filing Website Online Forms 144, 144/A Notice for proposed sale of securities under Rule 144 Online Forms where the issuing company is subject to the reporting requirements of Section 13 or 15(d) of the Exchange Act EDGAR Form 144 XML Technical Specification 15-12G, 15-12G/A Notice of termination of registration of a class of securities under Section 12(b) and 12(g) EDGARLink Online XML Technical Specification March 2024 3-4 EDGARLink Online EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 15-15D, 15-15D/A Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act EDGARLink Online EDGARLink Online XML Technical Specification 15F-12B, 15F-12B/A Notice of termination by a Foreign Private Issuer of a EDGARLink class of equity securities under Section 12(b) Online EDGARLink Online XML Technical Specification 15F-12G, 15F-12G/A Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(g). EDGARLink Online EDGARLink Online XML Technical Specification 15F-15D, 15F-15D/A Notice of a foreign private issuer’s suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act EDGARLink Online EDGARLink Online XML Technical Specification 17HACON, 17HACON/A Confidential broker dealer annual 17-H report EDGAR Filing Website Online Forms EDGAR Form 17-H XML Technical Specification 17HQCON, 17HQCON/A Confidential broker dealer quarterly 17-H report EDGAR Filing Website Online Forms EDGAR Form 17-H XML Technical Specification 18-12B, 18-12B/A Form for initial registration of securities of foreign governments or political subdivisions pursuant to Section 12(b) EDGARLink Online EDGARLink Online XML Technical Specification 18-12G, 18-12G/A Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to Section 12(g) EDGARLink Online EDGARLink Online XML Technical Specification 18-K, 18-K/A Annual report for foreign governments and political subdivisions EDGARLink Online EDGARLink Online XML Technical Specification 20-F, 20-F/A Annual and transition report of foreign private issuers EDGARLink pursuant to Section 13 or 15(d) Online EDGARLink Online XML Technical Specification March 2024 3-5 EDGAR Filer Manual (Volume II) Description Tool/ Template Number FilerConstructed Form Spec. 20FR12B, 20FR12B/A Form for initial registration of a class of securities of foreign private issuers pursuant to Section 12(b) EDGARLink Online EDGARLink Online XML Technical Specification 20FR12G, 20FR12G/A Form for initial registration of a class of securities of foreign private issuers pursuant to Section 12(g) EDGARLink Online EDGARLink Online XML Technical Specification 24F-2NT, 24F-2NT/A Rule 24F-2 notice filed on Form 24F-2 EDGAR Filing Website Online Forms EDGAR Form 24F-2 Technical Specification Document 25, 25/A Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange EDGARLink Online EDGARLink Online XML Technical Specification 25-NSE, 25-NSE/A Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities Distributed to National Securities Exchanges only Distributed to National Securities Exchanges only 3, 3/A Initial statement of beneficial ownership of securities Online Forms EDGAR Ownership XML Technical Specification 305B2, 305B2/A Application for designation of a new trustee under the Trust Indenture Act EDGARLink Online 4, 4/A Statement of changes in beneficial ownership of securities Online Forms EDGAR Ownership XML Technical Specification 40-6B, 40-6B/A Application under the Investment Company Act by and/or Investment Advisers Act an employees’ securities company EDGARLink Online EDGARLink Online XML Technical Specification 40-17F1, 40-17F1/A Initial certificate of accounting of securities and EDGARLink similar investments in the custody of management Online investment companies filed pursuant to Rule 17f-1 of the Investment Company Act of 1940 filed on Form N-17F-1 EDGARLink Online XML Technical Specification Submission Type March 2024 3-6 EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) Tool/ Template Number FilerConstructed Form Spec. 40-17F2, 40-17F2/A Initial certificate of accounting of securities and EDGARLink similar investments in the custody of management Online investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2 EDGARLink Online XML Technical Specification 40-17G, 40-17G/A Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940 EDGARLink Online EDGARLink Online XML Technical Specification 40-17GCS, 4017GCS/A Filings of claim or settlement pursuant to rule 17g1(g)(1)(2) or (3) of the Investment Company Act of 1940 EDGARLink Online EDGARLink Online XML Technical Specification 40-24B2, 40-24B2/A Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940 EDGARLink Online EDGARLink Online XML Technical Specification 40-33, 40-33/A Copies of all stockholder derivative actions filed with EDGARLink a court against an investment company or an affiliate Online thereof pursuant to Section 33 of the Investment Company Act of 1940 EDGARLink Online XML Technical Specification 40-8B25 Document or report EDGARLink Online EDGARLink Online XML Technical Specification 40-8F-2, 40-8F-2/A Initial application for de-registration pursuant to Investment Company Act Rule 0-2 EDGARLink Online EDGARLink Online XML Technical Specification 40-APP, 40-APP/A Applications under the Investment Company Act and/or Investment Advisers Act other than those reviewed by Office of Insurance Products EDGARLink Online EDGARLink Online XML Technical Specification 40-F, 40-F/A Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4 EDGARLink Online EDGARLink Online XML Technical Specification 40FR12B, 40FR12B/A Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act EDGARLink Online EDGARLink Online XML Technical Specification 40FR12G, 40FR12G/A Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act EDGARLink Online EDGARLink Online XML Technical Specification Submission Type March 2024 Description 3-7 EDGAR Filer Manual (Volume II) Tool/ Template Number FilerConstructed Form Spec. 40-OIP, 40-OIP/A Applications under the Investment Company Act EDGARLink and/or Investment Advisers Act reviewed by Office of Online Insurance Products EDGARLink Online XML Technical Specification 424A Prospectus filed pursuant to Rule 424(a) EDGARLink Online EDGARLink Online XML Technical Specification 424B1 Prospectus filed pursuant to Rule 424(b)(1) EDGARLink Online EDGARLink Online XML Technical Specification 424B2 Prospectus filed pursuant to Rule 424(b)(2) EDGARLink Online EDGARLink Online XML Technical Specification 424B3 Prospectus filed pursuant to Rule 424(b)(3) EDGARLink Online EDGARLink Online XML Technical Specification 424B4 Prospectus filed pursuant to Rule 424(b)(4) EDGARLink Online EDGARLink Online XML Technical Specification 424B5 Prospectus filed pursuant to Rule 424(b)(5) EDGARLink Online EDGARLink Online XML Technical Specification 424B7 Prospectus filed pursuant to Rule 424(b)(7) EDGARLink Online EDGARLink Online XML Technical Specification 424B8 Prospectus filed pursuant to Rule 424(b)(8) EDGARLink Online EDGARLink Online XML Technical Specification 424H, 424H/A Preliminary Prospectus filed pursuant to Rule 424(h) EDGARLink Online EDGARLink EDGARLink Online EDGARLink Online XML Technical Specification Submission Type 425 March 2024 Description Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions 3-8 Online XML Technical Specification EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 424I Prospectus filed pursuant to Rule 424(i)(1) EDGARLink Online EDGARLink Online XML Technical Specification 485APOS Post-effective amendment filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) EDGARLink Online EDGARLink Online XML Technical Specification 485BPOS Post-effective amendment filed pursuant to Securities Act Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing) EDGARLink Online EDGARLink Online XML Technical Specification 485BXT Post-effective amendment filed pursuant to Securities Act Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) EDGARLink Online EDGARLink Online XML Technical Specification 486APOS Post-effective amendment to filing filed pursuant to Securities Act Rule 486(a) (this filing cannot be submitted as a 1940 Act only filing) EDGARLink Online EDGARLink Online XML Technical Specification 486BPOS Post-effective amendment to filing filed pursuant to Securities Act Rule 486(b) (this filing cannot be submitted as a 1940 Act only filing) EDGARLink Online EDGARLink Online XML Technical Specification 486BXT Post-effective amendment filed pursuant to Securities Act Rule 486(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 486(a) (this filing cannot be submitted as a 1940 Act only filing) EDGARLink Online EDGARLink Online XML Technical Specification 487 Pre-effective pricing amendment filed pursuant to Securities Act Rule 487 EDGARLink Online EDGARLink Online XML Technical Specification 497 Definitive materials filed under paragraph (a), (b), (c), EDGARLink (d), (e) or (f) of Securities Act Rule 497 Online EDGARLink Online XML Technical Specification 497AD Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497 EDGARLink Online XML Technical Specification March 2024 3-9 EDGARLink Online EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 497H2 Filings made pursuant to Rule 497(h)(2) EDGARLink Online EDGARLink Online XML Technical Specification 497J Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497 EDGARLink Online EDGARLink Online XML Technical Specification 497K Summary Prospectus for certain open-end EDGARLink management investment companies filed pursuant to Online Securities Act Rule 497(k) EDGARLink Online XML Technical Specification 497VPI Initial summary prospectus for variable contracts filed EDGARLink pursuant to Securities Act Rule 497(k) Online EDGARLink Online XML Technical Specification 497VPSUB Substitution-related supplement and correspondence EDGARLink for variable contracts filed pursuant to the Online Commission Statement on Insurance Product Fund Substitution Applications EDGARLink Online XML Technical Specification 497VPU Updating summary prospectus for variable contracts filed pursuant to Securities Act Rule 497(k) EDGARLink Online XML Technical Specification 5, 5/A Annual statement of changes in beneficial ownership Online Forms EDGAR of securities Ownership XML Technical Specification 6-K, 6-K/A Current report of foreign issuer pursuant to Rules 13a-16 and 15d-16 Amendments EDGARLink Online EDGARLink Online XML Technical Specification 8-A12B, 8-A12B/A Form for the registration / listing of a class of EDGARLink securities on a national securities exchange pursuant Online to Section 12(b) EDGARLink Online XML Technical Specification EDGARLink Online 8-A12G, 8-A12G/A Form for registration of a class of securities pursuant to Section 12(g) March 2024 3-10 EDGARLink Online EDGARLink Online XML Technical Specification EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. 8-K, 8-K/A Current report filing EDGARLink Online EDGARLink Online XML Technical Specification 8-K12B, 8-K12B/A Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(b) EDGARLink Online EDGARLink Online XML Technical Specification 8-K12G3, 8-K12G3/A Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(g) EDGARLink Online EDGARLink Online XML Technical Specification 8-K15D5, 8-K15D5/A Notification of assumption of duty to report by successor issue under Section 15(d) EDGARLink Online EDGARLink Online XML Technical Specification ABS-15G, Asset-backed securities report pursuant to Section 15G EDGARLink Online EDGARLink Online XML Technical Specification Form for Submission of Electronic Exhibits in assetbacked securities offerings EDGARLink Online EDGARLink Online XML Technical Specification, ABS-15G/A ABS-EE, ABS-EE/A EDGAR ABS XML Technical Specification ANNLRPT, ANNLRPT/A Periodic Development Bank filing, submitted annually EDGARLink Online EDGARLink Online XML Technical Specification APP WD, APP WD/A Withdrawal of an application for exemptive or other relief from the federal securities laws EDGARLink Online EDGARLink Online XML Technical Specification ARS, ARS/A Annual report to security holders EDGARLink Online EDGARLink Online XML Technical Specification ATS-N Initial Form ATS-N (Rule 304(a)(1)(i)) EDGAR Filing Website EDGAR Form ATS-N XML Technical Specification March 2024 3-11 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. ATS-N/CA Correcting Amendment (Rule 304(a)(2)(i)(C)) EDGAR Filing Website EDGAR Form ATS-N XML Technical Specification ATS-N/MA Material Amendment (Rule 304(a)(2)(i)(A)) EDGAR Filing Website EDGAR Form ATS-N XML Technical Specification ATS-N/OFA Order Display and Fair Access Amendment (Rule 304(a)(2)(i)(D)) EDGAR Filing Website EDGAR Form ATS-N XML Technical Specification ATS-N/UA Updating Amendment (Rule 304(a)(2)(i)(B)) EDGAR Filing Website EDGAR Form ATS-N XML Technical Specification ATS-N-C Notice of Cessation (Rule 304(a)(3)) EDGAR Filing Website EDGAR Form ATS-N XML Technical Specification ATS-N-W Withdrawal of Form ATS-N filing EDGAR Filing Website EDGAR Form ATS-N XML Technical Specification AW Withdrawal of amendment to a registration statement EDGARLink filed under the Securities Act Online EDGARLink Online XML Technical Specification AW WD Withdrawal of a request for withdrawal of an amendment to a registration statement EDGARLink Online EDGARLink Online XML Technical Specification BULK Bulk Submission EDGARLink Online C, C/A Offering Statement EDGAR Filing Website March 2024 3-12 EDGAR Form C XML Technical Specification EDGAR Filer Manual (Volume II) Submission Type Tool/ Template Number Description FilerConstructed Form Spec. C-W Offering Statement Withdrawal EDGAR Filing Website EDGAR Form C XML Technical Specification C/A-W Amendment to Offering Statement Withdrawal EDGAR Filing Website EDGAR Form C XML Technical Specification C-U Progress Update EDGAR Filing Website EDGAR Form C XML Technical Specification C-U-W Progress Update Withdrawal EDGAR Filing Website EDGAR Form C XML Technical Specification C-AR, C-AR/A Annual Report EDGAR Filing Website EDGAR Form C XML Technical Specification C-AR-W Annual Report Withdrawal EDGAR Filing Website EDGAR Form C XML Technical Specification C-AR/A-W Amendment to Annual Report Withdrawal EDGAR Filing Website EDGAR Form C XML Technical Specification C-TR Termination of Reporting EDGAR Filing Website EDGAR Form C XML Technical Specification C-TR-W Termination of Reporting Withdrawal EDGAR Filing Website EDGAR Form C XML Technical Specification CB, CB/A Notification form filed in connection with certain EDGARLink tender offers, business combinations and rights Online 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 EDGARLink Online XML Technical Specification CERT Certification by an exchange approving securities for listing N/A March 2024 3-13 EDGARLink Online EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. CFPORTAL, CFPORTAL/A Application for registration of funding portal EDGAR Filing Website EDGAR Form CFPORTAL XML Technical Specification CFPORTAL-W Withdrawal of the funding portal’s registration EDGAR Filing Website EDGAR Form CFPORTAL XML Technical Specification CORRESP A correspondence can be sent as a document with another submission type or can be sent as a separate submission. EDGARLink Online EDGARLink Online XML Technical Specification D, D/A Official notice of an offering of securities that is made Online Forms without registration under the Securities Act in reliance on an exemption provided by Regulation D and Section 4(a)(5) under the Act. EDGAR Form D XML Technical Specification DEF 14A Definitive proxy statements EDGARLink Online EDGARLink Online XML Technical Specification DEF 14C Definitive information statements EDGARLink Online EDGARLink Online XML Technical Specification DEFA14A Definitive additional proxy soliciting materials including Rule 14(a)(12) material. Note: Submission type DEFA14A can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8-K combined form type as the easiest method for fulfilling your filing requirement for both forms. EDGARLink Online EDGARLink Online XML Technical Specification DEFA14C Definitive additional information statement materials including Rule 14(a)(12) material EDGARLink Online EDGARLink Online XML Technical Specification DEFC14A Definitive proxy statement in connection with contested solicitations EDGARLink Online EDGARLink Online XML Technical Specification March 2024 3-14 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. DEFC14C Definitive information statement - contested solicitations EDGARLink Online EDGARLink Online XML Technical Specification DEFM14A Definitive proxy statement relating to a merger, acquisition, or disposition EDGARLink Online EDGARLink Online XML Technical Specification DEFM14C Definitive information statement relating to merger or acquisition EDGARLink Online EDGARLink Online XML Technical Specification DEFN14A Definitive proxy statement filed by non-management EDGARLink Online EDGARLink Online XML Technical Specification DEFR14A Definitive revised proxy soliciting materials EDGARLink Online EDGARLink Online XML Technical Specification DEFR14C Definitive revised information statement materials EDGARLink Online EDGARLink Online XML Technical Specification DEL AM Separately filed delaying amendment under Securities Act Rule 473 to delay effectiveness of a 1933 Act registration statement EDGARLink Online EDGARLink Online XML Technical Specification DFAN14A Definitive additional proxy soliciting materials filed by non-management including Rule 14(a)(12) material EDGARLink Online EDGARLink Online XML Technical Specification DFRN14A Revised definitive proxy statement filed by nonmanagement EDGARLink Online EDGARLink Online XML Technical Specification DOS, DOS/A Non-public draft offering statement under Regulation A EDGAR Filing Website N/A DOSLTR Draft Offering Statement Letter EDGARLink Online N/A March 2024 3-15 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. DRS, DRS/A Draft registration statement submitted by Emerging Growth Company under Securities Act Section 6(e) or by Foreign Private Issuer under Division of Corporation Finance policy EDGARLink Online N/A DRSLTR Correspondence Related to Draft Registration Statement EDGARLink Online N/A DSTRBRPT, DSTRBRPT/A Distribution of primary obligations Development Bank EDGARLink report Online EDGARLink Online XML Technical Specification F-1, F-1/A Registration statement for securities of certain foreign private issuers EDGARLink Online EDGARLink Online XML Technical Specification F-10, F-10/A Registration statement for securities of certain Canadian issuers under the Securities Act of 1933 EDGARLink Online EDGARLink Online XML Technical Specification F-10EF Auto effective registration statement for securities of certain Canadian issuers under the Securities Act of 1933 EDGARLink Online EDGARLink Online XML Technical Specification F-10POS Post-effective amendment to a F-10EF registration EDGARLink Online EDGARLink Online XML Technical Specification F-1MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F-1 EDGARLink Online EDGARLink Online XML Technical Specification F-3, F-3/A Registration statement for specified transactions by certain foreign private issuers EDGARLink Online EDGARLink Online XML Technical Specification F-3ASR Automatic shelf registration statement of securities of EDGARLink well-known seasoned issuers Online EDGARLink Online XML Technical Specification F-3D Registration statement for dividend or interest EDGARLink reinvestment plan securities of foreign private issuers Online EDGARLink Online XML Technical Specification March 2024 3-16 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. F-3DPOS Post-Effective amendment to a F-3D registration EDGARLink Online EDGARLink Online XML Technical Specification F-3MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F 3 EDGARLink Online EDGARLink Online XML Technical Specification F-4, F-4/A Registration statement for securities issued by foreign private issuers in certain business combination transactions EDGARLink Online EDGARLink Online XML Technical Specification F-4MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F 4 EDGARLink Online EDGARLink Online XML Technical Specification F-6 POS Post-effective amendment to a F-6EF registration EDGARLink Online EDGARLink Online XML Technical Specification F-6, F-6/A Registration statement for American Depositary Receipts representing securities of certain foreign private issuers EDGARLink Online EDGARLink Online XML Technical Specification F-6EF Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers EDGARLink Online EDGARLink Online XML Technical Specification F-7 POS Post-effective amendment to a F-7 registration EDGARLink Online EDGARLink Online XML Technical Specification F-7, F-7/A 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 EDGARLink Online EDGARLink Online XML Technical Specification F-8 POS Post-effective amendment to a F-8 registration EDGARLink Online EDGARLink Online XML Technical Specification F-8, F-8/A Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933 EDGARLink Online EDGARLink Online XML Technical Specification March 2024 3-17 EDGAR Filer Manual (Volume II) Tool/ Template Number FilerConstructed Form Spec. F-80, F-80/A Registration of securities of certain Canadian issuers EDGARLink to be issued in exchange offers or a business Online combination under the Securities Act of 1933 EDGARLink Online XML Technical Specification F-80POS Post-effective amendment to a F-80 registration EDGARLink Online EDGARLink Online XML Technical Specification F-N, F-N/A Notification of the appointment of an agent for service by certain foreign institutions EDGARLink Online EDGARLink Online XML Technical Specification FWP Filing under Securities Act Rules 163/433 of free writing prospectuses EDGARLink Online EDGARLink Online XML Technical Specification F-X, F-X/A For appointment of agent for service of process by issuers registering securities EDGARLink Online EDGARLink Online XML Technical Specification IRANNOTICE Notice of disclosure filed in Exchange Act quarterly and annual reports pursuant to Section 219 of the Iran Threat Reduction and Syria Human Rights Act of 2012 and Section 13(r) of the Exchange Act EDGARLink Online EDGARLink Online XML Technical Specification MA, MA-A, MA/A Municipal Advisor registration required pursuant to Section 15B(a)(2) of the Securities Exchange Act of 1934 and the Rules Thereunder. Application for Municipal Advisor Registration (MA), Annual Update of Municipal Advisor Registration (MA-A), and Amendment of a Prior Application for Registration (MA/A) EDGAR Filing Website Online Forms EDGAR Form MA XML Technical Specification MA-I, MA-I/A Information Regarding Natural Persons Who Engage EDGAR in Municipal Advisory Activities, and Amendment of a Filing Previously Submitted Form MA-I Website Online Forms EDGAR Form MA XML Technical Specification MA-W Notice of Withdrawal from Registration as a Municipal Advisor EDGAR Filing Website Online Forms EDGAR Form MA XML Technical Specification MODULE Module Submission EDGARLINK EDGARLink Online Online XML Technical Specification Submission Type March 2024 Description 3-18 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. N-14 8C, N-14 8C/A Initial registration statement filed on Form N14 by closed-end investment company (business combinations) EDGARLink Online EDGARLink Online XML Technical Specification N-14, N-14/A Initial registration statement filed on Form N14 for open-end investment company, including those filed with automatic effectiveness under Rule 488 (business combinations) EDGARLink Online EDGARLink Online XML Technical Specification N-14MEF A new registration statement filed on Form N14 by EDGARLink closed end investment companies filed under Online Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on Form N-14 EDGARLink Online XML Technical Specification N-18F1, N-18F1/A Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1 EDGARLink Online EDGARLink Online XML Technical Specification N-1A, N-1A/A Initial registration statement filed on Form N1A for open-end management investment companies EDGARLink Online EDGARLink Online XML Technical Specification N-2, N-2/A Initial filing of a registration statement on Form N-2 for closed-end investment companies EDGARLink Online EDGARLink Online XML Technical Specification N-2ASR Automatic shelf registration statement on Form N-2 for well-known seasoned issuers EDGARLink Online EDGARLink Online XML Technical Specification N-2 POSASR Post-effective amendment to an automatic shelf registration statement on Form N-2 for well-known seasoned issuers EDGARLink Online EDGARLink Online XML Technical Specification N-23C-2, N-23C-2/A Notice by closed-end investment companies of intention to call or redeem their own securities under Investment Company Act Rule 23c-2 EDGARLink Online EDGARLink Online XML Technical Specification N-23C3A, N23C3A/A Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only EDGARLink Online EDGARLink Online XML Technical Specification N-23C3B, N23C3B/A Filing pursuant to Rule 23c-3(c) only on Form N-23C-3 EDGARLink Online EDGARLink Online XML Technical Specification March 2024 3-19 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. N-23C3C, N23C3C/A Filing pursuant to Rule 23c-3(b) and (c) on Form N-23C-3 EDGARLink Online EDGARLink Online XML Technical Specification N-27D-1, N-27D-1/A Accounting for segregated trust accounts on Form N- EDGARLink 27D-1 Online EDGARLink Online XML Technical Specification N-2MEF A new registration statement on Form N-2 filed under EDGARLink Securities Act Rule 462(b) by closed-end investment Online companies of up to an additional 20% of securities for an offering that was registered on Form N-2 EDGARLink Online XML Technical Specification N-3, N-3/A Initial registration statement on Form N-3 for separate accounts (management investment companies) EDGARLink Online EDGARLink Online XML Technical Specification N-30B-2 Periodic and interim reports mailed to investment company shareholders (other than annual and semiannual reports mailed to shareholders pursuant to Rule 30e-1) EDGARLink Online EDGARLink Online XML Technical Specification N-30D, N-30D/A Initial annual and semi-annual reports mailed to investment company shareholders pursuant to Rule 30e-1 (other than those required to be submitted as part of Form NCSR.) EDGARLink Online EDGARLink Online XML Technical Specification N-4, N-4/A Initial registration statement on Form N-4 for separate accounts (unit investment trusts) EDGARLink Online EDGARLink Online XML Technical Specification N-5, N-5/A Registration statement for small business investment EDGARLink companies Online EDGARLink Online XML Technical Specification N-54A, N-54A/A Notification of election by business development companies filed on Form N-54A EDGARLink Online EDGARLink Online XML Technical Specification N-54C, N-54C/A Notification of withdrawal by business development companies filed on Form N-54C EDGARLink Online EDGARLink Online XML Technical Specification N-6, N-6/A Registration statement for separate accounts (unit investment trusts) EDGARLink Online EDGARLink Online XML Technical Specification March 2024 3-20 EDGAR Filer Manual (Volume II) Tool/ Template Number FilerConstructed Form Spec. N-6F, N-6F/A Notice of intent by business development companies EDGARLink to elect to be subject to Sections 55 through 65 of Online the 1940 Act filed on Form N-6F EDGARLink Online XML Technical Specification N-8A, N-8A/A Initial notification of registration under Section 8(a) filed on Form N-8A EDGARLink Online EDGARLink Online XML Technical Specification N-8B-2, N-8B-2/A Initial registration statement for unit investment trusts EDGARLink filed on Form N-8B-2 Online EDGARLink Online XML Technical Specification N-8B-3, N-8B-3/A Initial registration statement for periodic payment plans filed on Form N-8B-3 EDGARLink Online EDGARLink Online XML Technical Specification N-8B-4, N-8B-4/A Initial registration statement for face-amount certificate companies filed on Form N-8B-4 EDGARLink Online EDGARLink Online XML Technical Specification N-8F, N-8F/A Application for deregistration made on Form N-8F EDGARLink Online EDGARLink Online XML Technical Specification N-CEN, N-CEN/A Annual Report for Registered Investment Companies EDGAR Filing Website Online Forms EDGAR Form N-CEN XML Technical Specification N-CR, N-CR/A Current Report of Money Market Fund Material Events EDGAR Filing Website Online Forms EDGAR Form N-CR XML Technical Specification N-CSR, N-CSR/A Certified annual shareholder report of registered EDGARLink management investment companies filed on Form N- Online CSR EDGARLink Online XML Technical Specification N-CSRS, N-CSRS/A Certified semi-annual shareholder report of registered management investment companies filed on Form N-CSR EDGARLink Online XML Technical Specification Submission Type March 2024 Description 3-21 EDGARLink Online EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. N-MFP2/A Monthly Schedule of Portfolio Holdings of Money Market Funds on Form N-MFP N/A EDGAR Form NMFP2 XML Technical Specification N-MFP3, NMFP3/A Monthly Schedule of Portfolio Holdings of Money Market Funds on Form N-MFP (Effective June 11, 2024) N/A EDGAR Form NMFP3 XML Technical Specification NPORT-EX, Portfolio Holdings Exhibit to Form N-PORT EDGARLink Online EDGARLink Online XML Technical Specification Monthly Portfolio Investments Report on Form NPORT (Non-Public) N/A EDGAR Form NPORT XML Technical Specification Monthly Portfolio Investments Report on Form NPORT (Public) N/A EDGAR Form NPORT XML Technical Specification Annual Report of Proxy Voting Record filed on Form N-PX EDGARLink Online EDGARLink Online XML Technical Specification NPORT-EX/A NPORT-NP, NPORT-NP/A NPORT-P, NPORT-P/A N-PX, N-PX/A EDGAR Filing Website EDGAR Online Forms Filing Website (TEST Online Forms Filings Only N-PX CTR, N-PX CTR/A Form N-PX Confidential Treatment Request Until July 1, 2024) (TEST Filings Only Until July 1, 2024) EDGAR Filing Website Online Forms EDGAR Form N-PX Technical Specification Document (TEST Filings Only Until July 1, 2024) March 2024 3-22 (TEST Filings Only Until July 1, 2024) EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. N-RN, N-RN/A Current Report for Registered Management Investment Companies and Business Development Companies EDGARLink Online EDGARLink Online XML Technical Specification NRSRO-UPD Form NRSRO – Update of Registration for Nationally EDGARLink Recognized Statistical Rating Organizations Online EDGARLink Online XML Technical Specification NRSRO-CE, NRSRO-CE/A Form NRSRO – Annual Certification for Nationally Recognized Statistical Rating Organizations EDGARLink Online EDGARLink Online XML Technical Specification NRSRO-FR, NRSRO-FR/A Annual Financial/Other Reports for Nationally Recognized Statistical Rating Organizations, as required by Rule 17g-3 (Non-Public) EDGARLink Online EDGARLink Online XML Technical Specification NRSRO-WCLS Form NRSRO – Withdrawal from Credit Rating Class EDGARLink for Nationally Recognized Statistical Rating Online Organizations EDGARLink Online XML Technical Specification NRSRO-WREG Form NRSRO – Withdrawal from Registration as Nationally Recognized Statistical Rating Organization EDGARLink Online EDGARLink Online XML Technical Specification NT 10-K, NT 10-K/A Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10-KT EDGARLink Online EDGARLink Online XML Technical Specification NT 10-D, NT 10-D/A Notice under Rule 12b25 of inability to timely file all or part of a Form 10-D EDGARLink Online EDGARLink Online XML Technical Specification NT 10-Q, NT 10-Q/A Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB EDGARLink Online EDGARLink Online XML Technical Specification NT 11-K, NT 11-K/A Notice under Rule 12b25 of inability to timely file all or part of a form 11-K EDGARLink Online EDGARLink Online XML Technical Specification NT 15D2, NT 15D2/A Notice under Rule 12b25 of inability to timely file a special report pursuant to Section 15d-2 EDGARLink Online EDGARLink Online XML Technical Specification March 2024 3-23 EDGAR Filer Manual (Volume II) Description Tool/ Template Number FilerConstructed Form Spec. NT 20-F, NT 20-F/A Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F EDGARLink Online EDGARLink Online XML Technical Specification NT-NCEN, Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CEN EDGARLink Online EDGARLink Online XML Technical Specification NT-NCSR, NTNCSR/A Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report) EDGARLink Online EDGARLink Online XML Technical Specification N-VP, Notice Document for Certain Variable Contracts EDGARLink Online EDGARLink Online XML Technical Specification Financial Statements for Certain Variable Contracts EDGARLink Online EDGARLink Online XML Technical Specification POS 8C Post-effective amendment filed under the 1933 Act only or under both the 1933 and 1940 Acts pursuant to Section 8(c) of the 1933 Act by closed-end investment companies (this filing cannot be submitted as a 1940 Act only filing) EDGARLink Online EDGARLink Online XML Technical Specification POS AM Post-effective amendment to a registration statement EDGARLink that is not immediately effective upon filing Online EDGARLink Online XML Technical Specification POS AMI Post-effective amendment (for filings made under the EDGARLink 1940 Act only) Online EDGARLink Online XML Technical Specification POSASR Post-effective Amendment to an automatic shelf registration statement on Form S-3ASR or Form F3ASR EDGARLink Online EDGARLink Online XML Technical Specification POS EX Post-effective amendment filed solely to add exhibits to a registration statement EDGARLink Online EDGARLink Online XML Technical Specification POS462B Post-effective amendment to Securities Act Rule 462(b) registration statement EDGARLink Online EDGARLink Online XML Technical Specification Submission Type NT-NCEN/A N-VP/A N-VPFS, N-VPFS/A March 2024 3-24 EDGAR Filer Manual (Volume II) Tool/ Template Number FilerConstructed Form Spec. POS462C Post-effective amendment to a registration statement EDGARLink filed under Rule 462(c) Online EDGARLink Online XML Technical Specification PRE 14A Preliminary proxy statement not related to a contested matter or merger/acquisition EDGARLink Online EDGARLink Online XML Technical Specification PRE 14C Preliminary information statement not related to a contested matter or merger/acquisition EDGARLink Online EDGARLink Online XML Technical Specification PREC14A Preliminary proxy statement in connection with contested solicitations EDGARLink Online EDGARLink Online XML Technical Specification PREC14C Preliminary information statements - contested solicitations EDGARLink Online EDGARLink Online XML Technical Specification PREM14A Preliminary proxy statement relating to a merger, acquisition, or disposition EDGARLink Online EDGARLink Online XML Technical Specification PREM14C Preliminary information statements relating to merger EDGARLink or acquisition Online EDGARLink Online XML Technical Specification PREN14A Preliminary proxy statement filed by non-management EDGARLink Online EDGARLink Online XML Technical Specification PRER14A Preliminary revised proxy soliciting materials EDGARLink Online EDGARLink Online XML Technical Specification PRER14C Preliminary revised information statements EDGARLink Online EDGARLink Online XML Technical Specification PRRN14A Revised preliminary proxy statement filed by nonmanagement EDGARLink Online EDGARLink Online XML Technical Specification Submission Type March 2024 Description 3-25 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. PX14A6G Notice of exempt solicitation EDGARLink Online EDGARLink Online XML Technical Specification PX14A6N Notice of exempt solicitation for the purpose of determining whether to solicit proxies, consents, or authorizations in opposition to a proposed roll-up transaction filed pursuant to Rule 14a6(g) of the Securities Exchange Act of 1934 EDGARLink Online EDGARLink Online XML Technical Specification QRTLYRPT, QRTLYRPT/A Periodic Development Bank filing, submitted quarterly EDGARLink Online EDGARLink Online XML Technical Specification RW Registration Withdrawal Request EDGARLink Online EDGARLink Online XML Technical Specification RW WD Withdrawal of a Registration Withdrawal Request EDGARLink Online EDGARLink Online XML Technical Specification S-1, S-1/A General form of registration statement for all companies including face-amount certificate companies EDGARLink Online EDGARLink Online XML Technical Specification S-11, S-11/A Registration statement for securities to be issued by real estate companies EDGARLink Online EDGARLink Online XML Technical Specification S-11MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-11 EDGARLink Online EDGARLink Online XML Technical Specification S-1MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-1 EDGARLink Online EDGARLink Online XML Technical Specification S-20, S-20/A Registration statement for standardized options EDGARLink Online EDGARLink Online XML Technical Specification S-3, S-3/A Registration statement for specified transactions by certain issuers EDGARLink Online EDGARLink Online XML Technical Specification March 2024 3-26 EDGAR Filer Manual (Volume II) Tool/ Template Number FilerConstructed Form Spec. S-3ASR Automatic shelf registration statement of securities of EDGARLink well-known seasoned issuers Online EDGARLink Online XML Technical Specification S-3D Automatically effective registration statement for securities issued pursuant to dividend or interest reinvestment plans EDGARLink Online EDGARLink Online XML Technical Specification S-3DPOS Post-effective amendment to a S-3D registration statement EDGARLink Online EDGARLink Online XML Technical Specification S-3MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-3 EDGARLink Online EDGARLink Online XML Technical Specification S-4 POS Post-effective amendment to a S-4EF registration statement EDGARLink Online EDGARLink Online XML Technical Specification S-4, S-4/A Registration of securities issued in business combination transactions EDGARLink Online EDGARLink Online XML Technical Specification S-4EF Auto effective registration statement for securities issued in connection with the formation of a bank or savings and loan holding company in compliance with General Instruction G EDGARLink Online EDGARLink Online XML Technical Specification S-4MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-4 EDGARLink Online EDGARLink Online XML Technical Specification S-6, S-6/A Initial registration statement filed on Form S-6 for unit EDGARLink investment trusts Online EDGARLink Online XML Technical Specification S-8 Initial registration statement for securities to be offered to employees pursuant to employee benefit plans EDGARLink Online EDGARLink Online XML Technical Specification S-8 POS Post-effective amendment to a S-8 registration statement EDGARLink Online EDGARLink Online XML Technical Specification Submission Type March 2024 Description 3-27 EDGAR Filer Manual (Volume II) Submission Type Description Tool/ Template Number FilerConstructed Form Spec. S-B, S-B/A Registration statement for securities of foreign governments and subdivisions thereof under the Securities Act of 1933 (Schedule B) EDGARLink Online EDGARLink Online XML Technical Specification S-BMEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-B EDGARLink Online EDGARLink Online XML Technical Specification SBSE, SBSE/A Application for Registration of Security-based Swap EDGAR Dealers and Major Security-based Swap Participants Filing Website Online Forms EDGAR SBS Entity Forms XML Technical Specification SBSE-A, SBSE-A/A Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer or Major Swap Participant EDGAR Filing Website Online Forms EDGAR SBS Entity Forms XML Technical Specification SBSE-BD, SBSE-BD/A Application for Registration of Security-based Swap EDGAR Dealers and Major Security-based Swap Participants Filing that are Registered Broker-dealers Website Online Forms EDGAR SBS Entity Forms XML Technical Specification SBSE-C Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants EDGAR Filing Website Online Forms EDGAR SBS Entity Forms XML Technical Specification SBSE-W Request for Withdrawal from Registration as a EDGAR Security-based Swap Dealer or Major Security-based Filing Swap Participant Website Online Forms EDGAR SBS Entity Forms XML Technical Specification SBSE-DISPUTE NOTICE, Security-Based Swap Entity Valuation Dispute Notice EDGARLink Online EDGARLink Online XML Technical Specification SBS DISPUTE NOTICE/A SBSE-CCO-RPT, Chief Compliance Officer's Annual Compliance SBSE-CCO-RPT/A Report of Security-Based Swap Dealer or Major Security-Based Swap Participant pursuant to Rule 15Fk-1 March 2024 3-28 EDGAR Filing Website Online Forms EDGAR SBS Entity Forms XML Technical Specification EDGAR Filer Manual (Volume II) Tool/ Template Number FilerConstructed Form Spec. SC 13D, SC 13D/A Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities (HTML/ASCII format) EDGARLink Online EDGARLink Online XML Technical Specification SCHEDULE 13D, Schedule filed to report acquisition of beneficial SCHEDULE 13D/A ownership of 5% or more of a class of equity securities (XML format) Online Forms EDGAR SCHEDULE 13D XML Technical Specification Submission Type Description SC 13E1, SC 13E1/A Schedule 13-E1 statement of issuer required by Rule EDGARLink 13e-1 Online EDGARLink Online XML Technical Specification SC 13E3, SC 13E3/A Schedule filed to report going private transactions EDGARLink Online EDGARLink Online XML Technical Specification SC 13G, SC 13G/A Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and certain institutions (HTML/ASCII format) EDGARLink Online EDGARLink Online XML Technical Specification SCHEDULE 13G, Schedule filed to report acquisition of beneficial SCHEDULE 13G/A ownership of 5% or more of a class of equity securities by passive investors and certain institutions (XML format) Online Forms EDGAR SCHEDULE 13G XML Technical Specification SC 14D9, SC 14D9/A Tender offer solicitation/recommendation statements filed under Rule 14d-9 EDGARLink Online EDGARLink Online XML Technical Specification SC 14F1, SC 14F1/A Statement regarding change in majority of directors pursuant to Rule 14f-1 EDGARLink Online EDGARLink Online XML Technical Specification SC 14N, SC 14N/A Information filed by certain nominating shareholders (pursuant to Section 240 14n-1) EDGARLink Online EDGARLink Online XML Technical Specification SC 14N-S, SC 14N-S/A EDGARLink Online EDGARLink Online XML Technical Specification March 2024 Solicitation in connection with the formation or attempted formation of a Rule 14a-11 nominating shareholder group or solicitation in connection with a Rule 14a-11 nomination 3-29 EDGAR Filer Manual (Volume II) Description Tool/ Template Number FilerConstructed Form Spec. SC TO-C Written communication relating to an issuer or third party tender offer EDGARLink Online EDGARLink Online XML Technical Specification SC TO-I, SC TO-I/A Issuer tender offer statement EDGARLink Online EDGARLink Online XML Technical Specification SC TO-T, SC TO-T/A Third party tender offer statement EDGARLink Online EDGARLink Online XML Technical Specification SC13E4F, SC13E4F/A Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers EDGARLink Online EDGARLink Online XML Technical Specification SC14D1F, SC14D1F/A Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers EDGARLink Online EDGARLink Online XML Technical Specification SC14D9C Written communication by the subject company relating to a third party tender offer EDGARLink Online EDGARLink Online XML Technical Specification SC14D9F, SC14D9F/A 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 EDGARLink Online EDGARLink Online XML Technical Specification SD, SD/A Specialized Disclosure Report filed pursuant to EDGARLink Section 1502 of the Dodd-Frank Wall Street Reform Online and Consumer Protection Act relating to the use of conflict minerals (Rule 13p-1); or to provide an annual report of payments to foreign governments for resource extraction activities (Rule 13q-1) EDGARLink Online XML Technical Specification SDR, SDR/A, SDR-A Security-based swap data repository registration pursuant to the Securities Exchange Act of 1934. Application for Registration as Security-based Swap Data Repository (SDR), Interim Amendment to Application for Registration as Security-based Swap Data Repository (SDR/A), and Annual Amendment to Application for Registration as Security-based Swap Data Repository (SDR-A) EDGAR SDR XML Technical Specification Submission Type March 2024 3-30 EDGAR Filing Website Online Forms EDGAR Filer Manual (Volume II) Description Tool/ Template Number FilerConstructed Form Spec. Annual Compliance Report and Financial Report for a Security-based Swap Data Repository EDGARLink Online EDGARLink Online XML Technical Specification SDR-W Application for Withdrawal from Registration as Security-based Swap Data Repository EDGAR Filing Website Online Forms EDGAR SDR XML Technical Specification SF-1, SF-1/A General form of registration statement for all issuers of asset-backed securities EDGARLink Online EDGARLink Online XML Technical Specification SF-1MEF A new registration statement filed under Securities Act Rule 462(b) to add securities to a prior related effective registration statement filed on Form SF-1 EDGARLink Online EDGARLink Online XML Technical Specification SF-3, SF-3/A Shelf registration statement for qualified offerings of asset-backed securities EDGARLink Online EDGARLink Online XML Technical Specification SF-3MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form SF-3 EDGARLink Online EDGARLink Online XML Technical Specification SH-ER, SH-ER/A Weekly Form SH Entries Report Filed by Institutional EDGARLink Investment Managers Online SH-ER Information Table XML Technical Specification SH-NT, SH-NT/A Weekly Form SH Notice Report Filed by Institutional Investment Managers EDGARLink Online EDGARLink Online XML Technical Specification SP 15D2, SP 15D2/A Special Financial Report filed under Rule 15d-2 EDGARLink Online EDGARLink Online XML Technical Specification SPDSCL Specialized Disclosure EDGARLink Online EDGARLink Online XML Technical Specification SUPPL Voluntary supplemental material filed pursuant to EDGARLink Section 11(a) of the Securities Act of 1933 by foreign Online issuers EDGARLink Online XML Technical Specification Submission Type SDR-CCO, SDR-CCO/A March 2024 3-31 EDGAR Filer Manual (Volume II) Submission Type Tool/ Template Number Description FilerConstructed Form Spec. T-1, T-2 Note - Forms T-1 and T-2 are not filed as standalone submission types on the EDGAR system. They are filed as EX-25 (or EX-25/A when amended) to registration statements. No info blank cell No info blank cell T-3, T-3/A Initial application for qualification of trust indentures EDGARLink Online EDGARLink Online XML Technical Specification T-6, T-6/A 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 EDGARLink Online EDGARLink Online XML Technical Specification TA-1, TA-1/A Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 EDGAR Filing Website Online Forms EDGAR Form TA XML Technical Specification TA-2, TA-2/A Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934 EDGAR Filing Website Online Forms EDGAR Form TA XML Technical Specification TA-W Notice of withdrawal from registration as transfer agent filed pursuant to the Securities Exchange Act of 1934 EDGAR Filing Website Online Forms EDGAR Form TA XML Technical Specification UNDER, UNDER/A Initial undertaking to file reports EDGARLink Template 3 XFDL Technical Specification X-17A-5, X-17A-5/A EDGAR Filing Website Online Forms EDGAR Form X-17A5 XML Technical Specification March 2024 Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder 3-32 EDGAR Filer Manual (Volume II) 3.2 Electronic Form Types by Act This index will allow you to use the filing type to identify the EDGAR submission type and finally the tool or template you can use to either create or assemble the filing. Each of the tools and templates are covered in detail in separate sections of this document. The final column should only be used by filers or software developers who construct filings outside of the SEC supplied tools. Filer-Constructed Technical Specifications are available on the SEC’s Public Website. Please refer to these sites to determine if your version of the tool, template, or document is correct. Note: Tools, templates, and documents will no longer be marked with a version number relating to a software release. Some tools may be specific to submission types that remain the same through several releases, instead of being updated with each new release. Therefore each tool, template and manual will now be marked with its own version number, specific to that particular item. You can find the most current versions on the website from which the tools, templates, and manuals are downloaded. Be sure to verify that you have the current version before filing. Issuers are advised that filings with the submission types listed below will receive a “Filing Date” identical to the EDGAR “Received Date” even if received after 5:30 P.M. Eastern time, which is different than normal filings. In addition these filings will be disseminated until 10:00 P.M. Eastern time. Normally filings received after 5:30 P.M. Eastern time will receive a filing date of the next business day and will not be disseminated until the next business day. The following submission types will receive a filing date identical to the EDGAR “Received Date” and will be disseminated until 10:00 P.M. Eastern time: 3, 3/A, 4, 4/A, 5, 5/A, 144, 144/A, F-1MEF, F-3MEF, F-4MEF, N-14MEF, N-2MEF, POS 462B, S-11MEF, S-1MEF, S-3MEF, S4MEF, S-BMEF, SC 13D, SC 13D/A, SC 13G, SC 13G/A, SCHEDULE 13D, SCHEDULE 13D/A, SCHEDULE 13G, SCHEDULE 13G/A. You should submit any fee payment certification that you are making for the above-listed submission types, pursuant to Rule 3a(c), using the “CORRESP” submission type. March 2024 3-33 EDGAR Filer Manual (Volume II) Electronic Form Types by Act List of Tables Table 3-1: Securities Act Submission Types Accepted by EDGAR ......................................... 3-35 Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed Pursuant to Section 14 Submission Types Accepted by EDGAR ............................................................ 3-54 Table 3-3: Securities Exchange Act – Registration and Report Submission Types Accepted by EDGAR ...................................................................................................................................... 3-59 Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR ................................ 3-80 Table 3-5: Investment Company Submission Types Accepted by EDGAR ............................. 3-84 Table 3-6: Development Bank Submission Types Accepted by EDGAR ............................... 3-108 Table 3-7 [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%3A5f166dd583abc5c2. Public record. Not legal advice.