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Filer Manual – Volume II
EDGAR Filing
VERSION 16
December 2010
Notice
Use this EDGAR® Filer Manual when making electronic filings with the United States
Securities and Exchange Commission (SEC or "Commission"). See Rule 301 of Regulation S-T.
The EDGAR Filer Manual consists of three volumes. EDGAR Filer Manual (Volume I) General
Information introduces the requirements for becoming an EDGAR Filer and maintaining
EDGAR company information. EDGAR Filer Manual (Volume II) EDGAR Filing illustrates the
process to submit an online filing. EDGAR Filer Manual (Volume III) N-SAR Supplement is a
guide for preparing electronic submissions of Form N-SAR.
For up-to-date information regarding filing-related topics, consult the following
EDGAR websites:
Information for EDGAR Filers (http://www.sec.gov/info/edgar.shtml)
EDGAR Gateway to submit filings http://www.portal.edgarfiling.sec.gov)
EDGAR Company Database (http://www.edgarcompany.sec.gov)
®
®
EDGAR and EDGARLink are registered trademarks of the Securities and Exchange
Commission. EDGARLite™ is a trademark of the Securities and Exchange Commission. All
other product brand names mentioned in this Filer Manual are trademarks or registered
trademarks of their respective holders.
Note: New EDGAR software releases include modifications to the EDGARLink software and
EDGAR submission templates. Please download, install, and use the new EDGARLink
software and submission templates to ensure that submissions will be processed
successfully.
To protect the privacy of our filing community, filers are asked not to include social security
numbers in filings submitted to the Commission.
December 2010
EDGAR Filer Manual (Volume II)
Updates
On December 13, 2010, EDGAR Release 10.4 introduced the following changes:
New EDGARLink Online Application (EDGARLink Online) has been implemented to
allow filers to submit EDGARLink submission form types online, without the use of the
offline EDGARLink Tool. EDGARLink Online can be accessed from the EDGAR Filing
website, by selecting the “EDGARLink Online Submissions” link.
The existing offline EDGARLink Tool and the associated Templates 1-6 will continue to
be available.
A new chapter, “Preparing and Transmitting EDGARLink Online Submissions”, has
been added to the Volume II of the EDGAR Filer Manual to guide filers through the
filing process using the new tool.
Submission type ABS 15G and its amendment will be available on EDGARLink Online.
See Proposing Release No. 33-9148, Disclosure for Asset-Backed Securities Required by
Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
A new 8-K Item 6.10 (Alternative Filings of Asset-Backed Issuers) will be available on
EDGARLink Submission Template #3 and EDGARLink Online for submission form
types 8-K, and 8-K/A. Item 6.10 requires a PDF attachment to be included as Exhibit 99.
Filings containing EX-101.INS XBRL document will have validation changed as
follows:
o Removed restrictions, so as to now allow domain items to be abstract.
o Removed restriction, so as to now allow footnoteArc elements to omit the order
attribute.
o Relaxed validations for EX-101.INS XBRL documents to allow a DTS that has
type declarations in any standard international or US namespace.
o Relaxed validations for EX-101.INS documents to allow internationally
recommended type and role declarations to be used in its DTS.
o Relaxed validations for EX-101.INS XBRL documents whose DTS has arc role
declarations to allow the link:footnoteArc element to have an arc role that is either
standard or is declared in a standard taxonomy schema.
o Added validations for EX-101.INS XBRL documents to require a DTS that has
type declarations in any standard international or US namespace to enforce
restrictions on combinations of numeric data types and unit of measure
declarations according to internationally recommended and US-specific data types
registry.
December 2010
EDGAR Filer Manual (Volume II)
On October 25, 2010, EDGAR Release 10.3.2 introduced the following changes:
Two new submission form types (SC 14N, SC 14N-S) and their amendments have been
added to EDGARLink Template #2.
A new item in Form 8-K (Item 5.08 - Shareholder Director Nominations) has been added
to EDGARLink Submission Template #3 for submission form types 8-K, 8-K12B, 8K12G3, 8-K15D5 and their amendments.
However, use of the SC 14N, SC 14N-S and Form 8-K Item 5.08 is delayed until further notice.
See Order Rel. No. 33-9149 (Order Granting Stay) for more information; see also Rel. No 339151(Notice of stay of effective and compliance dates).
EDGAR Filer Manual (Volume II)
December 2010
Table of Contents
1.
INTRODUCTION TO VOLUME II ............................................................................. 1-1
1.1 Organization of this Manual .............................................................................................. 1-1
1.1.1 Conventions Used in the Filer Manual ............................................................................ 1-2
2.
QUICK GUIDE TO EDGAR FILING .......................................................................... 2-1
2.1 EDGAR Filing Process ..................................................................................................... 2-1
2.1.1 Using EDGARLink Templates ........................................................................................ 2-2
2.1.2 Using EDGARLink Online .............................................................................................. 2-2
2.1.3 EDGAR OnlineForms/XML Website.............................................................................. 2-3
2.1.4 After a Submission is Filed .............................................................................................. 2-3
2.2 Filing Checklist ................................................................................................................. 2-4
2.3 General Information for Filers .......................................................................................... 2-6
2.3.1 Hours of Operation .......................................................................................................... 2-6
2.3.2 Introduction to Web Browsers ......................................................................................... 2-6
2.3.3 Browser Differences ........................................................................................................ 2-7
2.3.4 Accessing EDGAR .......................................................................................................... 2-7
2.3.5 Getting Help with EDGAR .............................................................................................. 2-8
2.4 EDGAR Gateway and Websites........................................................................................ 2-9
3.
3.1
3.2
INDEX TO FORMS ........................................................................................................ 3-1
Alpha/Numeric .................................................................................................................. 3-2
Electronic Form Types by Act ........................................................................................ 3-38
4.
FILING FEE INFORMATION ..................................................................................... 4-1
4.1 Where to Pay Filing Fees .................................................................................................. 4-1
4.2 How to Send Filing Fees to U.S. Bank.............................................................................. 4-1
4.3 Filings that Require Filing Fees ........................................................................................ 4-2
4.3.1 1933 Act Filings by Corporations .................................................................................... 4-2
4.3.2 1934 Act Filings ............................................................................................................... 4-3
4.3.3 1933 and 1940 Act Filings by Investment Companies .................................................... 4-3
4.4 How to Calculate a Filing Fee ........................................................................................... 4-3
4.4.1 1933 Act Filings ............................................................................................................... 4-3
4.4.2 1934 Act Filings ............................................................................................................... 4-4
4.4.3 1939 Act Filings ............................................................................................................... 4-4
4.5 Offsetting Fees .................................................................................................................. 4-4
4.5.1 Offsetting Fees Example .................................................................................................. 4-5
4.5.2 Example of Fee Calculation for 24F-2NT ....................................................................... 4-5
4.6 Common Problems ............................................................................................................ 4-6
5.
CONSTRUCTING ATTACHED DOCUMENTS AND DOCUMENT TYPES ....... 5-1
5.1 Introduction ....................................................................................................................... 5-1
5.1.1 File Naming Standards ..................................................................................................... 5-1
5.1.2 Statutory Signatures ......................................................................................................... 5-1
5.2 Document Formats ............................................................................................................ 5-2
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5.2.1 ASCII Documents ............................................................................................................ 5-2
5.2.2 HTML ............................................................................................................................ 5-11
5.2.3 Unofficial PDF ............................................................................................................... 5-24
5.2.4 Unofficial XBRL ........................................................................................................... 5-26
5.3 Preparing or Referencing Module and Segment Documents .......................................... 5-34
5.3.1 Module and Segment Naming ....................................................................................... 5-35
5.3.2 Types of Modules and Segments ................................................................................... 5-35
5.3.3 Maintaining Modules and Segments .............................................................................. 5-38
5.4 Document Types in EDGAR ........................................................................................... 5-42
5.4.1 Non-Public and Confidential ......................................................................................... 5-42
5.4.2 Exhibits .......................................................................................................................... 5-43
5.5 Common Problems .......................................................................................................... 5-43
6.
INTERACTIVE DATA .................................................................................................. 6-1
6.1 XBRL Overview................................................................................................................ 6-2
6.2 Supported Versions of XBRL Standard Taxonomies ....................................................... 6-2
6.3 Submission Syntax ............................................................................................................ 6-4
6.3.1 Use EDGARLink Online and EDGARLink Submission Templates 1, 2, and 3 to attach
XBRL Document Types. ................................................................................................. 6-4
6.3.2 XBRL instance, schema, and linkbase documents must be attached to an EDGAR
submission using the EX-100.* or EX-101.* document types. ....................................... 6-4
6.3.3 XBRL document names must match {base}-{date}[_{suffix}].{extension}.................. 6-5
6.3.4 An XBRL document must not contain HTML character name references. .................... 6-5
6.3.5 The ampersand character must begin a valid XML predefined entity or numeric character
reference. .......................................................................................................................... 6-5
6.3.6 The URI content of the xlink:href attribute, the xsi:schemaLocation attribute and the
schemaLocation attribute must be relative and contain no forward slashes, or a
recognized external location of a standard taxonomy schema file, or a “#” followed by a
shorthand xpointer. .......................................................................................................... 6-6
6.3.7 XBRL document names are case sensitive. ..................................................................... 6-6
6.3.8 A submission must contain exactly one EX-100.INS or EX-101.INS. ........................... 6-6
6.3.9 Filers must use one of the taxonomies as specified on the SEC website as their standard
taxonomy.......................................................................................................................... 6-7
6.3.10 A submission must contain at least one company extension schema EX-100.SCH or
EX-101.SCH. ................................................................................................................... 6-7
6.3.11 Attribute xml:base must not appear in any Interactive Data document. .......................... 6-7
6.4 Semantics of Filings .......................................................................................................... 6-7
6.4.1 Since XBRL documents must be contained in an official SEC submission, EDGAR will
suspend any submission that contains only XBRL documents. ...................................... 6-7
6.4.2 EDGAR may truncate a submission if any rule in this manual is violated...................... 6-7
6.4.3 The XBRL instance documents in a submission must be XBRL 2.1 valid. .................... 6-7
6.5 Syntax of Instances ............................................................................................................ 6-7
6.5.1 The scheme attribute of the xbrli:identifier element must be http://www.sec.gov/CIK. . 6-8
6.5.2 An xbrli:identifier element must have the CIK of the registrant as its content. .............. 6-8
6.5.3 All xbrli:identifier elements in an instance must have identical content. ........................ 6-8
6.5.4 The xbrli:scenario element must not appear in any xbrli:context. ................................... 6-8
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6.5.5 If an xbrli:segment element appears in a context, then its children must be one or more
xbrldi:explicitMember elements. ..................................................................................... 6-8
6.5.6 The content of xbrldi:explicitMember and xbrldi:measure is a QName. ........................ 6-8
6.5.7 An instance must not contain duplicate xbrli:context elements....................................... 6-8
6.5.8 Every xbrli:context element must appear in at least one contextRef attribute in the same
instance. ........................................................................................................................... 6-9
6.5.9 If the original HTML/ASCII document represents a reporting period of one quarter or
longer, then the same date must not appear as the content of both an xbrli:startDate and
an xbrli:endDate in an instance. ....................................................................................... 6-9
6.5.10 If the original HTML/ASCII document represents a reporting period of one quarter or
longer, then the same date must not appear in the content of an xbrli:startDate and an
xbrli:instant in the same instance. .................................................................................... 6-9
6.5.11 Element xbrli:xbrl must not have duplicate child xbrli:unit elements. .......................... 6-10
6.5.12 An instance must not have more than one fact having the same element name, equal
contextRef attributes, and if they are present, equal unitRef attributes and xml:lang
attributes, respectively. .................................................................................................. 6-10
6.5.13 The default value of the xml:lang attribute on non-numeric facts and on link:footnote is
„en-US‟. .......................................................................................................................... 6-10
6.5.14 An instance having a fact with non-nil content and the xml:lang attribute not starting with
“en” must also contain a fact using the same element and all other attributes with an
xml:lang attribute that begins with “en”. ....................................................................... 6-10
6.5.15 If the un-escaped content of a fact with base type us-types:textBlockItemType or a type
derived by restriction of the type „escapedItemType‟ in a standard taxonomy schema
namespace contains the “<” character followed by a QName and whitespace, “/>” or “>”,
then the un-escaped content must contain only a sequence of text and XML nodes. .... 6-11
6.5.16 Facts of type “text block” whose un-escaped content contains markup must satisfy the
content model of the BODY tag as defined in 5.2.2. ..................................................... 6-12
6.5.17 The xbrli:xbrl element must not have any facts with the precision attribute. ................ 6-12
6.5.18 A fact is defined to have a footnote if it has an id attribute and a link:footnoteArc to a
nonempty link:footnote in the same instance................................................................. 6-12
6.5.19 An instance covering a reporting period must contain a Required Context that is an
xbrli:context having xbrli:startDate equal to 00:00:00 on the first day of the reporting
period and xbrli:endDate equal to 24:00:00 on its last day. .......................................... 6-12
6.5.20 For each required Document Information element, an instance must contain a fact with
that element and a contextRef attribute referring to its Required Context. ................... 6-12
6.5.21 An instance must contain one non-empty fact for each required Entity Information
element, each with a contextRef attribute referring to a Required Context. The value of
an EntityPublicFloat fact in an instance will be 0 for an entity that has only public debt. 613
6.5.22 All other elements in the dei namespace are optional.................................................... 6-15
6.5.23 The contents of the dei:EntityCentralIndexKey fact in the Required Context must equal
the content of the xbrli:identifier element in that context. ............................................. 6-15
6.5.24 The official Registrant Name that corresponds to the CIK of the xbrli:identifier text
content must be a case-insensitive prefix of the dei:EntityRegistrantName fact in the
Required Context. .......................................................................................................... 6-15
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6.5.25 Elements with a type attribute equal to or a restriction of „domainItemType‟ in a standard
taxonomy schema target namespace must not appear as facts in an instance. .............. 6-15
6.5.26 An instance with dei:DocumentType of 10-K, 10-Q, 20-F, or 40-F must have at least one
dei:EntityCommonStockSharesOutstanding fact for each class of stock outstanding. . 6-16
6.5.27 A link:footnoteLink element must have no children other than link:loc, link:footnote, and
link:footnoteArc. ............................................................................................................ 6-16
6.5.28 The xlink:role attribute of a link:footnote element must be defined in the XBRL
Specification 2.1. ........................................................................................................... 6-16
6.5.29 The xlink:role attribute of a link:loc element must be empty, or defined in the XBRL
Specification 2.1. ........................................................................................................... 6-16
6.5.30 The xlink:arcrole attribute of a link:footnoteArc element must be defined in the XBRL
Specification 2.1. ........................................................................................................... 6-16
6.5.31 Reserved. ........................................................................................................................ 6-16
6.5.32 A link:footnoteLink link:loc xlink:href attribute must start with the sharp sign “#”..... 6-16
6.5.33 Every nonempty link:footnote element must be linked to at least one fact. .................. 6-16
6.5.34 The content of a link:footnote element must satisfy the content model of the BODY tag
as defined in 5.2.2. ......................................................................................................... 6-17
6.5.35 If a standard numeric data type registry is in the DTS of an instance, then the value of
each „unitRef‟ attribute on each fact of a type in that registry must refer to a unit
declaration consistent with the data type of that fact, where consistency is defined by that
registry. .......................................................................................................................... 6-17
6.6 Semantics of Instances .................................................................................................... 6-18
6.6.1 In an instance reporting a fiscal year, non-numeric facts containing text about any portion
of that or a prior year must have a contextRef attribute to an xbrli:context for the
reporting period year. ..................................................................................................... 6-18
6.6.2 In an instance reporting a fiscal year-to-date, the non-numeric facts containing text about
any portion of the year-to-date or prior year must have a contextRef attribute to an
xbrli:context representing the year-to-date. ................................................................... 6-18
6.6.3 Facts about a registrant must have an xbrli:context element in the default legal entity,
except for facts that apply only to a reportable segment or a subsidiary with separate
reporting obligations to the Commission. ...................................................................... 6-18
6.6.4 If facts about a Consolidated Entity and one or more of its subsidiaries, each with
separate reporting obligations to the Commission, appear in a single instance, it is a
consolidating instance. ................................................................................................... 6-19
6.6.5 The contexts for facts about entities other than the Consolidated Entity must have
xbrli:explicit Member with a dimension attribute equal to dei:LegalEntityAxis and
distinct values................................................................................................................. 6-19
6.6.6 Facts in a consolidating instance with a context that names an entity with subsidiaries,
applies collectively to subsidiaries within that subset. .................................................. 6-21
6.6.7 In a consolidating instance, facts that apply only to the parent company and not to any
specific subsidiaries must have contexts whose xbrldi:explicitMember elements have a
dimension attribute of dei:LegalEntityAxis and value us-gaap:ParentCompanyMember. 621
6.6.8 In a consolidating instance, facts that apply only to eliminations between subsidiaries
must have contexts whose xbrldi:explicitMember elements have a dimension attribute of
dei:LegalEntityAxis and value us-gaap:ConsolidationEliminationsMember. ............... 6-21
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6.6.9 Facts that apply to all classes of stock in a submission must have an xbrli:context element
without a dimension attribute equal to us-gaap:StatementClassOfStockAxis. .............. 6-22
6.6.10 An instance containing facts that are only specific to distinct stock classes in a statement
must distinguish those facts using xbrli:context elements whose xbrldi:explicitMember
elements have a dimension attribute of dei:StatementClassOfStockAxis. .................... 6-22
6.6.11 An instance containing multiple reports about the same entity for the same periods under
different reporting assumptions must distinguish the facts in different reports using
xbrli:context elements whose xbrldi:explicitMember elements have a dimension attribute
of us-gaap:StatementScenarioAxis. ............................................................................... 6-22
6.6.12 An instance must contain a fact for each combination of line item and period that appears
on the face of the financial statements of the corresponding official HTML/ASCII
document. ....................................................................................................................... 6-22
6.6.13 The facts representing a line item that appears on the face of the financial statements of
the corresponding official HTML/ASCII document must use the same element in
different periods. ............................................................................................................ 6-23
6.6.14 An instance must contain a fact for each amount disclosed parenthetically in line items
that appears on the face of the financial statements of the corresponding official
HTML/ASCII document. ............................................................................................... 6-23
6.6.15 The xsi:nil="true" attribute must be used only to convey a value that is different from
both “zero” and different from not reporting the fact at all, or to identify a fact detailed
only by a link:footnote. .................................................................................................. 6-23
6.6.16 An instance must contain facts containing each complete footnote and each required
schedule (as set forth in Article 12 of Regulation S-X) of the corresponding official
HTML/ASCII document, as a single block of text. ....................................................... 6-24
6.6.17 An instance must not contain facts that do not appear in the corresponding official
HTML/ASCII document. ............................................................................................... 6-25
6.6.18 Page headers and footers appearing in an official HTML/ASCII document must not
appear in any of the facts or link:footnote elements of an instance. .............................. 6-26
6.6.19 For each significant accounting policy within the accounting policies footnote of the
corresponding official HTML/ASCII document, an instance must contain a “level 2” fact
containing the policy as a block of text. ........................................................................ 6-26
6.6.20 An instance must contain each table within each footnote in the corresponding official
HTML/ASCII document as a separate “level 3” fact block of text. .............................. 6-26
6.6.21 Reserved. ........................................................................................................................ 6-26
6.6.22 An instance must contain separately each monetary value, percentage, and number in
each footnote in the corresponding official HTML/ASCII document, as a “level 4” fact. 626
6.6.23 An element used in numeric facts representing amounts must have an xbrli:periodType
attribute that is the same as the amounts reported. ........................................................ 6-27
6.6.24 If an element used in numeric facts representing amounts in one or more periods has a
definition, then the scope of that definition must include the material amounts reported
for that line item in the corresponding official HTML/ASCII document. ..................... 6-27
6.6.25 An element must not be used in numeric facts representing amounts of a line item in
different periods if it has a definition that explicitly excludes one or more of the material
amounts in the corresponding official HTML/ASCII document. .................................. 6-28
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6.6.26 When there is a choice among different elements that have definitions consistent with a
set of facts in one or more periods, use the element with the narrowest definition. ...... 6-28
6.6.27 If there is a choice among different elements whose type attribute is consistent with a set
of facts in one or more periods, use the element with the most specific type attribute. 6-28
6.6.28 When there is a choice among different elements having distinct link:reference elements
in a standard taxonomy, use the element with the most specific reference. .................. 6-28
6.6.29 When choosing the most appropriate element for facts in one or more periods, the
element‟s xbrli:periodType attribute takes precedence over the type attribute, which takes
precedence over the element‟s documentation string if present, which in turn takes
precedence over the label string, which in turn takes precedence over link:reference
elements. ........................................................................................................................ 6-28
6.6.30 Invert the sign of a numeric fact whose element has an xbrli:balance value that is
inconsistent with the reporting concept being reported. ................................................ 6-29
6.6.31 The content of a numeric fact never has a scale factor. ................................................. 6-29
6.6.32 The value of the decimals attribute of a fact must correspond to the accuracy of the
corresponding amount as reported in the official HTML/ASCII document. ................. 6-29
6.6.33 Do not resolve calculation inconsistencies by inserting digits that do not appear in the
official HTML/ASCII document. .................................................................................. 6-30
6.6.34 Do not define or use units that imply a scale factor on a currency. ............................... 6-30
6.6.35 Each unit must appear with only one implicit scale factor per instance. ....................... 6-31
6.6.36 If a fact whose element type attribute equals „us-types:dateString‟ or a restriction of it
refers to a specific date, then it must be an ISO 8601 format date. ............................... 6-31
6.6.37 If a fact whose element type attribute is „us-types:durationString‟ or a restriction of it
refers to a specific length of time, then it must be an ISO 8601 format duration. ......... 6-32
6.6.38 If a fact whose element type attribute is „us-types:periodString‟ or a restriction of it refers
to a specific calendar period, then it must be an ISO 8601 format period. .................... 6-32
6.6.39 Text that is shown in the official HTML/ASCII document at the bottom of a page on the
face of the financials preceded by a superscript must appear in the corresponding instance
as the text of a link:footnote element. ............................................................................ 6-32
6.6.40 Distinct texts that are shown in the official HTML/ASCII document at the bottom of a
page on the face of the financials preceded by distinct superscripts must appear in the
corresponding instance as the text of distinct link:footnote elements. .......................... 6-32
6.7 Syntax of Company Extension Schemas ......................................................................... 6-32
6.7.1 The xsd:schema must not have an xsd:include element. ............................................... 6-32
6.7.2 If an xsd:import element has a namespace attribute equal to a standard taxonomy schema,
then its schemaLocation attribute must be the standard taxonomy assigned to that
namespace. ..................................................................................................................... 6-33
6.7.3 The authority part of an xsd:schema targetNamespace attribute must not equal the
authority part of a targetNamespace attribute of any standard taxonomy schema. ....... 6-33
6.7.4 The targetNamespace attribute must match http://{authority}/{versionDate} .............. 6-33
6.7.5 The targetNamespace attribute must be a valid URI with an {authority} that is either a
domain name controlled by the publisher of the schema, a domain name controlled by the
registrant, or if neither exists, then a mnemonic name for the registrant such as its ticker
symbol. ........................................................................................................................... 6-33
6.7.6 The targetNamespace attribute must be a valid URI with a {versionDate} in ISO 8601
format that identifies the release date of the schema. .................................................... 6-33
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6.7.7 Element xsd:schema must bind a Recommended Namespace Prefix for the
targetNamespace attribute that does not contain the underscore character. .................. 6-34
6.7.8 Element xsd:schema must not contain any occurrences of “embedded” linkbases. ...... 6-34
6.7.9 The roleURI attribute of a link:roleType element must begin with the same {scheme} and
{authority} as the targetNamespace attribute. ............................................................... 6-34
6.7.10 A DTS must not contain more than one link:roleType element with equal values of the
roleURI attribute. ........................................................................................................... 6-34
6.7.11 A link:roleType declaration with link:usedOn containing link:presentationLink,
link:definitionLink or link:calculationLink must also have a link:usedOn for the other
two.................................................................................................................................. 6-34
6.7.12 A link:roleType element must contain a link:definition child element whose content will
communicate the title of the financial statement section, the level of facts in the instance
that a presentation relationship in the base set of that role would display, and sort
alphanumerically into the order that statements and footnotes appear in the official
HTML/ASCII document. ............................................................................................... 6-35
6.7.13 The arcroleURI attribute of a link:arcroleType element must begin with the same
{scheme} and {authority} parts as the targetNamespace attribute. ............................... 6-37
6.7.14 A DTS must not contain more than one link:arcroleType element with equal values of the
arcroleURI attribute. ...................................................................................................... 6-37
6.7.15 A link:arcroleType element must have a nonempty link:definition. ............................. 6-37
6.7.16 The name attribute of an xsd:element must not equal any xsd:element name attribute in a
standard taxonomy schema that appears in the same instance DTS. ............................. 6-37
6.7.17 The id attribute of an xsd:element must consist of the Recommended Namespace Prefix
of the element namespace, followed by one underscore, followed by its name attribute. . 637
6.7.18 The nillable attribute value of an xsd:element must equal „true‟................................... 6-37
6.7.19 The xsd:element substitutionGroup attribute must not be a member of a substitution
group with head „xbrli:tuple‟. ........................................................................................ 6-37
6.7.20 An xsd:element must not have an xbrldt:typedDomainRef attribute............................. 6-37
6.7.21 If the abstract attribute of xsd:element is „true‟, then the xbrli:periodType attribute must
be „duration‟. .................................................................................................................. 6-37
6.7.22 If the abstract attribute of xsd:element is „true‟, then the type attribute must be
„xbrli:stringItemType‟.................................................................................................... 6-37
6.7.23 The xsd:element substitutionGroup attribute must equal „xbrldt:dimensionItem‟ if and
only if the name attribute ends with „Axis‟. .................................................................. 6-38
6.7.24 The xsd:element name attribute must end with „Table‟ if and only if substitutionGroup
attribute equals „xbrldt:hypercubeItem‟. ........................................................................ 6-38
6.7.25 If the xsd:element substitutionGroup attribute is not equal to „xbrldt:dimensionItem‟ or
equal to „xbrldt:hypercubeItem‟ then it must equal „xbrli:item‟. .................................. 6-38
6.7.26 If xsd:element name attribute ends with „LineItems‟ then the abstract attribute must equal
„true‟. .............................................................................................................................. 6-38
6.7.27 The xsd:element name attribute must end with „Domain‟ or „Member‟ if and only if the
type attribute equals or is derived from „domainItemType‟ in a standard taxonomy
schema target namespace. .............................................................................................. 6-38
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6.7.28 If xsd:element type attribute equals or is derived from „domainItemType‟ in a standard
taxonomy schema target namespace then the xbrli:periodType attribute must equal
„duration‟........................................................................................................................ 6-38
6.8 Semantics of Company Extension Schemas ................................................................... 6-38
6.8.1 A schema that changes any xsd:element or type declarations or changes any relationships
in its DTS from an earlier version of itself in such a way as to invalidate earlier instances
must use only the {versionDate} portion of its targetNamespace attribute to identify the
new version. ................................................................................................................... 6-38
6.8.2 A schema must contain at least one link:linkbaseRef element for each of the linkbases
that are required for the submission to be valid. ............................................................ 6-39
6.8.3 Do not define link:arcroleType (or link:roleType for a resource-type element) that means
the same as arc roles or resource roles that are already defined in the XBRL 2.1
specification or in a standard taxonomy. ....................................................................... 6-39
6.8.4 Wherever possible, registrants should assign a standard and other labels for an element
defined in a standard taxonomy schema in preference to declaring a new element in a
company schema. ........................................................................................................... 6-40
6.8.5 The name attribute of an xsd:element should consist of capitalized words corresponding
to the standard label, a convention called LC3. ............................................................. 6-40
6.8.6 Do not include company-specific or period-specific information in an xsd:element name
attribute for elements having other than type „domainItem Type‟. ............................... 6-41
6.8.7 An xsd:element name attribute should be consistent with its standard label and follow a
style similar to the convention used in standard taxonomies......................................... 6-41
6.8.8 Declare an xsd:element with an abstract attribute equal to „true‟ if an appropriate abstract
element does not exist, and use the presentation linkbase to have facts rendered
sequentially. ................................................................................................................... 6-42
6.8.9 Declare an xsd:element with a type attribute equal to „xbrli:monetaryItemType‟ if the
standard taxonomy schema contains only monetary type elements that, in the judgment of
the registrant, are too broadly defined for a given line item. ......................................... 6-42
6.8.10 Do not declare different elements for different values of the same underlying line item. 642
6.8.11 An xsd:element with a type attribute equal to „xbrli:monetaryItemType‟ must have an
xbrli:balance attribute if it appears on a statement of income or balance sheet. ........... 6-43
6.8.12 An xsd:element with a type attribute equal to „xbrli:monetaryItemType‟ has an
xbrli:periodType attribute equal to „instant‟ if and only if it represents beginning and end
of period balances, as distinct to balances defined over a period of time. ..................... 6-43
6.8.13 An xsd:element with a type attribute equal to „xbrli:monetaryItemType‟ that represents
an adjustment must have a xbrli:periodType attribute equal to „duration‟. ................... 6-43
6.8.14 A ratio of values that would have the same unitRef attribute must be declared as an
xsd:element with a type attribute equal to or derived from „percentItemType‟ in a
standard taxonomy schema target namespace, even though its value is not scaled by 100.
........................................................................................................................................ 6-43
6.8.15 A ratio of values for which its facts would have different values for the unitRef attribute
and a denominator other than xbrli:shares must be declared as an xsd:element with a type
attribute equal to xbrli:pureItemType. ........................................................................... 6-44
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6.8.16 If facts in an instance are dates, but no xsd:element in a standard taxonomy with a type
attribute equal to „xbrli:dateItemType‟ is appropriate, declare an xsd:element with a type
attribute equal to „xbrli:dateItemType‟. ......................................................................... 6-44
6.8.17 If facts in an instance are a mixture of text, date, numbers or other values, and no
xsd:element in a standard taxonomy with a type attribute equal to „xbrli:stringItemType‟
is appropriate, then declare an xsd:element with a type attribute equal to
„xbrli:stringItemType‟.................................................................................................... 6-44
6.8.18 If no standard taxonomy schema contains domain member elements specific enough to
distinguish between facts needing distinct values of „xbrldi:explicitMember‟, then declare
an xsd:element with a type attribute equal to or derived from „domainItemType‟ in a
standard taxonomy schema target namespace. .............................................................. 6-44
6.8.19 Do not declare an xsd:element with a type attribute equal to or derived from
„domainItemType‟ in a standard taxonomy schema target namespace as an explicit
“total” domain member. ................................................................................................. 6-45
6.8.20 For value and narrative facts, declare an xsd:element with a substitutionGroup attribute
equal to „xbrldt:dimensionItem‟ if a standard taxonomy schema contains no Axis element
for a reporting axis appearing in the original HTML/ASCII document. ....................... 6-45
6.8.21 Declare an xsd:element with a substitutionGroup attribute equal to
„xbrldt:hypercubeItem‟ if a standard taxonomy schema contains no Table elements
appropriate to the reporting axis needed. ....................................................................... 6-46
6.8.22 Reserved. ........................................................................................................................ 6-46
6.8.23 Define an xsd:element with a type attribute equal to „us-types:textBlockItemType‟ or a
type derived by restriction from the type „escapedItemType‟ in a standard taxonomy
schema namespace if the standard taxonomy schema contains only text block type
elements that, in the judgment of the registrant, are too broadly defined for a footnote or
table. ............................................................................................................................... 6-46
6.9 Syntax of all Linkbases ................................................................................................... 6-46
6.9.1 A link:linkbase must be XML Linking Language (XLink) 1.0 valid. ........................... 6-46
6.9.2 An effective relationship exists between a target and source element when there is an
element with an xlink:type attribute of 'arc' and a use attribute of “optional" that has a
higher value of the priority attribute than any equivalent relationship in its base set. .. 6-47
6.9.3 A link:linkbase in a submission must have no ineffectual relationships. ...................... 6-47
6.9.4 The xlink:role attribute of an element with a type='extended' attribute or a type='resource'
attribute must be present and must not be empty. .......................................................... 6-47
6.9.5 The xlink:role attribute of an element with an xlink:type attribute of „resource‟ must be
present and must be defined in XBRL 2.1 or a standard taxonomy. ............................. 6-47
6.9.6 The text preceding a sharp sign „#‟ in an xlink:href attribute of link:arcroleRef must be a
standard taxonomy. ........................................................................................................ 6-47
6.9.7 All extended link elements in a single linkbase must have the same namespace and local
name. .............................................................................................................................. 6-47
6.9.8 Arcs that are defined as equivalent in XBRL 2.1 and having the same value for the use
attribute are duplicate relationships. .............................................................................. 6-47
6.9.9 The value of the priority attribute must be strictly less than 10..................................... 6-48
6.10 Syntax of Label Linkbases .............................................................................................. 6-48
6.10.1 An element used in a fact or xbrldi:explicitMember in an instance must have an English
standard label in the DTS of that instance. .................................................................... 6-48
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6.10.2 An element used in a fact or xbrldi:explicitMember in an instance must have at most one
label for any combination of the xlink:role attribute and the xml:lang attribute in the DTS
of that instance. .............................................................................................................. 6-48
6.10.3 If an element used in an instance is assigned a label in the DTS whose xml:lang attribute
does not start with „en‟, then the DTS must also contain a link:label for the same element
and all other attributes with an xml:lang attribute that starts with „en‟. ........................ 6-48
6.10.4 The DTS of an instance must have no distinct elements having the same English standard
label. ............................................................................................................................... 6-48
6.10.5 A label linkbase must not have a definition for an element defined in a standard
taxonomy........................................................................................................................ 6-49
6.10.6 The ASCII text of link:label must be a string of fewer than 511 characters with no
consecutive XML whitespace characters and no occurrences of „<‟ unless its xlink:role
attribute is „http://www.xbrl.org/2003/label/documentation‟. ....................................... 6-49
6.10.7 Reserved. ........................................................................................................................ 6-49
6.10.8 The text of link:label must not have leading or trailing XML whitespace. ................... 6-49
6.11 Semantics of Label Linkbases ......................................................................................... 6-49
6.11.1 Assign a label of an element used in an instance the same text as the corresponding line
item in the original HTML/ASCII document. ............................................................... 6-49
6.11.2 Assign a label of a parenthetical element the same text as the corresponding text in the
original HTML/ASCII document. ................................................................................. 6-50
6.11.3 If an numeric element is in presentation relationships in a relationship group with other
numeric elements, and its units differ from the other elements and in the minority, then
the suffix of its label must specify those units. .............................................................. 6-50
6.11.4 An xsd:element should be assigned a total label if the element will be presented with
different labels depending on whether it is shown as a line item or as a summation of
other line items. .............................................................................................................. 6-51
6.11.5 An xsd:element with a type attribute equal to „xbrli:monetaryItemType‟ that does not
have an xbrli:balance attribute must have a definition that disambiguates its sign. ...... 6-51
6.11.6 Assign a “negating” label to an xsd:element with an xbrli:balanceType attribute that is
inconsistent with the presentation in the official HTML/ASCII document. .................. 6-51
6.11.7 If an xsd:element with an xbrli:periodType attribute equal to „instant‟ could be presented
as either a beginning or end of period value in a roll forward, assign period start labels or
period end labels. ........................................................................................................... 6-52
6.11.8 Assign an xsd:element different terse or verbose labels if the same element will appear
with different labels depending on the presentation relationships that have it as a target. 652
6.11.9 A label linkbase of a standard taxonomy should not be included in the DTS of an
instance. ......................................................................................................................... 6-53
6.12 Syntax of Presentation Linkbases.................................................................................... 6-53
6.12.1 The link:presentationArc element requires an order attribute. ...................................... 6-53
6.12.2 All effective presentation relationships in the same base set with the same source element
must have distinct values of the order attribute. ............................................................ 6-53
6.12.3 An element used in an instance must participate in at least one effective presentation
relationship in the DTS of that instance. ........................................................................ 6-53
6.12.4 If an element used in an instance is the target in the instance DTS of an effective
presentation relationship having a nonempty preferredLabel attribute, then the element
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must have an English label with a value of the xlink:role attribute equal to the
preferredLabel attribute. ................................................................................................ 6-54
6.12.5 If an element used in an instance is the target in the instance DTS of more than one
effective presentation relationship in a base set with the same source element, then the
presentation relationships must have distinct values of the preferredLabel attribute. ... 6-54
6.13 Semantics of Presentation Linkbases .............................................................................. 6-54
6.13.1 A presentation linkbase of a standard taxonomy should not be included in the DTS of an
instance. ......................................................................................................................... 6-54
6.13.2 The element of every fact in an instance must participate in an effective presentation
relationship in a base set whose xlink:role attribute corresponds to the locations where the
fact appears in the original HTML/ASCII document. ................................................... 6-54
6.13.3 Organize the effective presentation relationships in a base set using the ordering and
indentation of the facts in the original HTML/ASCII document. .................................. 6-54
6.13.4 All elements of facts corresponding to parentheticals in the original HTML/ASCII
document must be the targets only of effective presentation relationships in one base set
and all having the same source abstract element. .......................................................... 6-55
6.14 Syntax of Calculation Linkbases ..................................................................................... 6-55
6.14.1 Element link:calculationArc requires an order attribute. ............................................... 6-55
6.14.2 Element link:calculationArc requires a weight attribute value equal to 1 or -1. ........... 6-55
6.14.3 The source and target of an effective calculation relationship must have equal values of
the xblri:periodType attribute. ....................................................................................... 6-55
6.14.4 There must be no directed cycles in effective relationships having arc role
http://www.xbrl.org/2003/role/summation-item. ........................................................... 6-55
6.14.5 If an instance contains non-empty facts for the source and target of an effective
calculation relationship, then at least one effective presentation relationship that the
source and target appear in (because of 6.12.3) must be either (a) a relationship with each
other or (b) two relationships with any other elements that share a single extended link. 655
6.15 Semantics of Calculation Linkbases................................................................................ 6-55
6.15.1 A calculation linkbase of a standard taxonomy should not be included in the DTS of an
instance. ......................................................................................................................... 6-56
6.15.2 If the original HTML/ASCII document shows two or more line items along with their net
or total during or at the end of the Required Context period, and the instance contains
corresponding numeric facts, then the DTS of the instance must have an effective
calculation relationship from the total element to each of the contributing line items. . 6-56
6.15.3 If a footnote in the original HTML/ASCII document contains alternate line items that
sum to the same total amount, then the XBRL instance document for that footnote must
have calculation relationships for the original and alternate line items in distinct base sets.
........................................................................................................................................ 6-57
6.15.4 A fact in an instance whose element is the source of an effective calculation relationship
in the instance DTS should not have the same calculation relationship target in more than
one base set. ................................................................................................................... 6-57
6.16 Syntax of Definition Linkbases ....................................................................................... 6-57
6.16.1 Element link:definitionArc requires an order attribute. ................................................. 6-57
6.16.2 Reserved. ........................................................................................................................ 6-58
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6.16.3 The target of an effective relationship with an xlink:arcrole attribute equal to
„http://xbrl.org/int/dim/arcrole/dimension-domain‟ or
„http://xbrl.org/int/arcrole/dimension-default‟ must be a Domain or Member. ............. 6-58
6.16.4 The xlink:arcrole attributes „http://xbrl.org/int/dim/arcrole/domain-member‟ and
„http://xbrl.org/int/dim/arcrole/dimension-domain‟ must have no undirected cycles in any
Directed Relationship Set as defined in XBRL Dimensions 1.0. .................................. 6-58
6.16.5 The DTS of an instance must contain in each base set, for each source element, at most
one effective relationship with an xlink:arcrole attribute equal to
„http://xbrl.org/int/dim/arcrole/all‟................................................................................. 6-58
6.16.6 An effective relationship with an xlink:arcrole attribute equal to
„http://xbrl.org/int/dim/arcrole/notAll‟ must have an xbrldt:closed attribute equal to
„false‟. ............................................................................................................................ 6-58
6.16.7 An axis of a negative table must appear in a positive table in a definitionLink having an
equal value of xlink:role. ............................................................................................... 6-59
6.16.8 The target of an effective relationship with an xlink:arcrole attribute equal to
„http://xbrl.org/int/dim/arcrole/notAll‟ must not be the target of an effective arc with an
xlink:arcrole attribute equal to „http://xbrl.org/int/dim/arcrole/all‟ in link:definitionLink
elements having equal values of xlink:role.................................................................... 6-59
6.16.9 If the value of attribute xbrldt:targetRole on an effective definition relationship is not
empty, then that relationship must have at least one effective consecutive relationship (as
defined by the XBRL Dimensions specification). ......................................................... 6-59
6.17 Semantics of Definition Linkbases.................................................................................. 6-59
6.17.1 A definition linkbase of a standard taxonomy should not be included in the DTS of an
instance. ......................................................................................................................... 6-59
6.18 Syntax of Reference Linkbases ....................................................................................... 6-59
6.18.1 An element that has a company specific namespace must not have a reference. .......... 6-60
6.18.2 A company extension reference linkbase must not add, remove, or change references for
any element declared in a standard taxonomy schema. ................................................. 6-60
6.19 Semantics of Reference Linkbases .................................................................................. 6-60
6.19.1 A reference linkbase of a standard taxonomy should not be included in the DTS of an
instance. ......................................................................................................................... 6-60
6.20 EDGAR Module Processing with XBRL Taxonomy Extensions ................................... 6-60
6.21 Segment Functionality Not Supported for XBRL Documents ........................................ 6-60
6.22 Supported Versions of XBRL Standard Taxonomies ..................................................... 6-61
7.
PREPARING AND TRANSMITTING EDGARLINK SUBMISSIONS ................... 7-1
7.1 Introduction ....................................................................................................................... 7-1
7.1.1 Using the EDGAR Filing Website................................................................................... 7-3
7.1.2 Information on Headers ................................................................................................... 7-6
7.2 Installation ......................................................................................................................... 7-6
7.2.1 Step 1 - Downloading the EDGARLink Software ........................................................... 7-6
7.2.2 Step 2 - Installing on Your PC ......................................................................................... 7-9
7.2.3 Step 3 - Downloading the Submission Templates ......................................................... 7-12
7.2.4 Step 4 - Downloading the Fee Rate Table ..................................................................... 7-16
7.3 Preparing Your EDGARLink Submission ...................................................................... 7-17
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7.3.1 Submission Templates ................................................................................................... 7-17
7.3.2 EDGARLink Submission Preparation Map ................................................................... 7-22
7.3.3 The EDGARLink Main Page ......................................................................................... 7-24
7.3.4 The EDGARLink Documents Page ............................................................................... 7-35
7.3.5 The EDGARLink Notification Page .............................................................................. 7-42
7.3.6 The EDGARLink Module/Segment Page ...................................................................... 7-43
7.3.7 The EDGARLink Series and Classes (Contracts) Information Page............................. 7-46
7.3.8 The EDGARLink Fee Offsets Page ............................................................................... 7-56
7.3.9 The EDGARLink Fee and Offering Information Page .................................................. 7-58
7.3.10 Combining Form Types in a Single Submission ........................................................... 7-65
7.3.11 Module and Segment Submissions ................................................................................ 7-68
7.3.12 Correspondence Submissions and Documents .............................................................. 7-70
7.3.13 N-SAR Documents ........................................................................................................ 7-71
7.3.14 Bulk Filing ..................................................................................................................... 7-71
7.4 Validating Your Submission ........................................................................................... 7-72
7.4.1 Field Validation ............................................................................................................. 7-72
7.4.2 Document Validation ..................................................................................................... 7-73
7.4.3 Submission Validation ................................................................................................... 7-75
7.4.4 Editing Your Submission ............................................................................................... 7-76
7.4.5 Submission Errors .......................................................................................................... 7-77
7.4.6 Document Errors ............................................................................................................ 7-77
7.5 Saving Your Submission ................................................................................................. 7-77
7.5.1 Signing Submissions Digitally....................................................................................... 7-78
7.6 Transmissions to EDGAR ............................................................................................... 7-80
7.6.1 Access EDGAR via Point-to-Point Protocol ................................................................. 7-80
7.6.2 Transmitting Single Submissions .................................................................................. 7-81
7.6.3 Transmitting Modules and Segments............................................................................. 7-83
7.6.4 Transmitting Bulk Filings .............................................................................................. 7-84
7.6.5 Test Submissions ........................................................................................................... 7-84
7.7 EDGAR Filing Website Help .......................................................................................... 7-85
7.7.1 EDGARLink Help ......................................................................................................... 7-85
7.8 Common Problems .......................................................................................................... 7-85
8.
PREPARING AND TRANSMITTING SUBMISSIONS USING EDGARLINK
ONLINE ........................................................................................................................... 8-1
8.1 Introduction ....................................................................................................................... 8-1
8.1.1 Using the EDGAR Filing Website................................................................................... 8-2
8.1.2 Information on Headers ................................................................................................... 8-6
8.2 Creating an EDGARLink Online Submission................................................................... 8-6
8.2.1 Step 1 - Accessing the Submission .................................................................................. 8-7
8.2.2 Step 2 - Viewing the Fee Rate ......................................................................................... 8-8
8.3 Preparing Your EDGARLink Online Submission ............................................................ 8-8
8.3.1 Submission ....................................................................................................................... 8-8
8.3.2 EDGARLink Online Submission Preparation Map ....................................................... 8-12
8.3.3 The EDGARLink Online Main Page ............................................................................. 8-14
8.3.4 The EDGARLink Online Attached Documents List Page ............................................ 8-25
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8.3.5 The EDGARLink Online Notification Information Page .............................................. 8-32
8.3.6 The EDGARLink Online Module/Segment Page .......................................................... 8-34
8.3.7 The EDGARLink Online Series /Classes (Contracts) Information Page ...................... 8-37
8.3.8 The EDGARLink Online Fee Offset Information Page ................................................ 8-48
8.3.9 The EDGARLink Online Offerings & Fees Page.......................................................... 8-50
8.3.10 Combining Form Types in a Single Submission ........................................................... 8-58
8.3.11 Module and Segment Submissions ................................................................................ 8-61
8.3.12 Correspondence Submissions and Documents .............................................................. 8-63
8.3.13 N-SAR Documents ........................................................................................................ 8-64
8.3.14 Bulk Filing ..................................................................................................................... 8-64
8.4 Validating Your Submission ........................................................................................... 8-65
8.4.1 Field Validation ............................................................................................................. 8-66
8.4.2 Document Validation ..................................................................................................... 8-66
8.4.3 Submission Validation ................................................................................................... 8-68
8.4.4 Editing Your Submission ............................................................................................... 8-69
8.4.5 Submission Errors .......................................................................................................... 8-70
8.4.6 Document Errors ............................................................................................................ 8-70
8.5 Saving Your Submission ................................................................................................. 8-70
8.6 Transmissions to EDGAR ............................................................................................... 8-70
8.6.1 Access EDGAR via Point-to-Point Protocol ................................................................. 8-70
8.6.2 Transmitting Single Submissions .................................................................................. 8-71
8.6.3 Transmitting Modules and Segments............................................................................. 8-72
8.6.4 Transmitting Bulk Filings .............................................................................................. 8-72
8.6.5 Test Submissions ........................................................................................................... 8-72
8.7 EDGAR Filing Website Help .......................................................................................... 8-73
8.7.1 EDGARLink Help ......................................................................................................... 8-73
8.8 Common Problems .......................................................................................................... 8-73
9.
PREPARING AND TRANSMITTING EDGARLITE SUBMISSIONS ................... 9-1
9.1 Purpose .............................................................................................................................. 9-1
9.2 What is Microsoft InfoPath ............................................................................................... 9-1
9.2.1 Minimum InfoPath Requirements.................................................................................... 9-1
9.2.2 Getting Help with Installation .......................................................................................... 9-2
9.3 Downloading and Installing Templates ............................................................................. 9-2
9.4 Preparing your EDGARLite Submission .......................................................................... 9-6
9.4.1 Retrieving a Partially Completed Filing ........................................................................ 9-15
9.5 Saving and Printing Your Filing ..................................................................................... 9-15
9.6 Transmitting XML Submissions ..................................................................................... 9-16
9.6.1 Transmit XML as a Test Submission............................................................................. 9-17
9.6.2 Transmit XML as a Live Submission ............................................................................ 9-18
9.6.3 Transmission Status ....................................................................................................... 9-19
10. PREPARING AND TRANSMITTING ONLINE SUBMISSIONS .......................... 10-1
10.1 Online Filing Preparation ................................................................................................ 10-1
10.1.1 OnlineForms Data Gathering Model ............................................................................. 10-1
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10.2 Navigating EDGAR ........................................................................................................ 10-2
10.2.1 Logging into EDGAR OnlineForms/XML Website ...................................................... 10-2
10.2.2 EDGAR OnlineForms/XML Menu Options .................................................................. 10-5
10.3 Creating an Online Section 16 Ownership Submission .................................................. 10-7
10.3.1 Select Ownership Submission Form Type ..................................................................... 10-8
10.3.2 Assemble Ownership Submission.................................................................................. 10-9
10.4 File Form D Submission................................................................................................ 10-28
10.4.1 Accessing EDGAR OnlineForms/XML Website for Form D Submissions ................ 10-28
10.4.2 Basic Information for Form D Submission.................................................................. 10-28
10.4.3 Completing an Online Form D Submission ................................................................. 10-33
10.5 Common Ownership Problems ..................................................................................... 10-55
11. FILER-CONSTRUCTED XFDL/XML SUBMISSIONS .......................................... 11-1
11.1 Filer-Constructed XFDL Technical Specifications ......................................................... 11-1
11.2 Filer-Constructed XML Technical Specifications .......................................................... 11-1
12. DETERMINING THE STATUS OF YOUR FILING ............................................... 12-1
12.1 Filing Date of Electronically Transmitted Submissions.................................................. 12-1
12.2 Receiving E-Mail Status of Filings from the SEC .......................................................... 12-1
12.2.1 How EDGAR Uses the Internet for E-Mail ................................................................... 12-1
12.2.2 How Mail Is Addressed to the Internet Address ............................................................ 12-2
12.3 Accessing Submission Information ................................................................................. 12-2
12.4 Return Copy Support ....................................................................................................... 12-4
12.4.1 Requesting a Return Copy via EDGARLink ................................................................. 12-4
12.4.2 Requesting a Return Copy via EDGARLink Online ..................................................... 12-5
12.4.3 Requesting a Return Copy via an Ownership Submission ............................................ 12-5
12.4.4 Who Can Access Return Copies .................................................................................... 12-6
12.4.5 Retrieve Return Copies .................................................................................................. 12-6
12.5 Submission Information .................................................................................................. 12-8
12.5.1 Retrieving Submission Notification ............................................................................... 12-9
12.5.2 Retrieve Module/Segment Information ....................................................................... 12-11
12.5.3 Module Information ..................................................................................................... 12-12
12.5.4 Segment Information ................................................................................................... 12-14
12.6 Getting Help with the Content of Filings or Exemptions/Adjustments ........................ 12-15
APPENDIX A. MESSAGES REPORTED BY EDGAR ....................................................... A-1
APPENDIX B. FREQUENTLY ASKED QUESTIONS ........................................................B-1
APPENDIX C. EDGAR SUBMISSION TYPES ................................................................... C-1
APPENDIX D. PAPER FORMS ............................................................................................. D-1
APPENDIX E. AUTOMATED CONFORMANCE RULES FOR EDGAR DATA FIELDSE-1
APPENDIX F. GLOSSARY OF COMMONLY USED TERMS, ACRONYMS AND
ABBREVIATIONS ......................................................................................................... F-1
APPENDIX G. FORM 13F SPECIAL ELECTRONIC FILING INSTRUCTIONS ......... G-1
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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 or direct dial transmissions.
EDGAR will disseminate that information and you may view electronically submitted filings in
the SEC's Public Reference Room in Washington, DC, through commercial dissemination
services, or by using the SEC's Public Website.
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 may find copies of Regulation S-T in the Federal Register
and the Code of Federal Regulations (17 CFR Part 232) in our Public Reference Rooms. You
will also find Regulation S-T under the Division of Corporation Finance area on the SEC's
Public Website under Forms and Associated Regulations, EDGAR.
We have identified the following other laws and releases that affect electronic filing. You may
obtain copies of this material from the SEC‟s Public Website.
Securities and Exchange Commission Authorization Act of 1987 -- Public Law 100-181
(December 4, 1987). (Section 35A of Securities Exchange Act of 1934.)
EDGAR Filer Manual (Volume II)
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December 2010
Releases
33-9148
Issued: 10/04/2010
Proposing Release
Disclosure for Asset-Backed Securities Required by Section 943
of the Dodd-Frank Wall Street Reform and Consumer Protection
Act
IC-29384
Issued: 08/25/2010
Effective: 11/15/2010
(75 FR 56668)
Facilitating Shareholder Director Nominations
IC-29132
Issued: 02/23/2010
Effective: 05/05/2010
(75 FR 10060)
Money Market Fund Reform
33-9089A
Issued: 02/23/2010
Effective: 02/28/2010
(75 FR 9100)
Proxy Disclosure and Solicitation Enhancements; Correction
33-9089
Issued: 12/16/09
Effective: 02/28/2010
(74 FR 68334)
Proxy Disclosure Enhancements
33-9006A
Issued: 05/01/09
Effective: 07/15/09
Interactive Data For Mutual Fund Risk/Return Summary
(Correction)
(74 FR 21255)
33-9002A
Issued: 04/01/09
Effective 04/13/09
(74 FR 15666)
Interactive Data to Improve Financial Reporting (Correction)
33-9002
Issued: 01/30/09
Effective: 04/13/09 (74
FR 6776)
Interactive Data to Improve Financial Reporting (adopting
release)
December 2010
xvii
EDGAR Filer Manual (Volume II)
33-9006
Issued: 02/11/09
Effective: 07/15/09. (74
FR 7748)
Interactive Data For Mutual Fund Risk/Return Summary
34-58785
Issued 10/15/2008
Effective 10/18/2008
(73 FR 61678)
Disclosure of Short Sales and Short Positions by Institutional
Investment Managers
33-8891
Issued 02/06/08
Effective 09/15/08
(73 FR 10592)
Electronic Filing and Revision of Form D
33-8876
Issued 12/19/07
Effective 02/04/08
(73 FR 934)
Smaller Reporting Company Regulatory Relief and
Simplification
33-8919
Issued 10/29/08
Effective 01/01/2009
(73 FR 65516)
Mandatory Electronic Submission of Applications for Orders
under the Investment Company Act and Filings Made Pursuant
to Regulation E
33-8823
Issued 07/11/07
Effective 08/20/07
(72 FR 39290)
Extension of the Interactive Data Voluntary Program on the
EDGAR System to Include Mutual Fund Risk/Return Summary
Information
34-55540
Issued 03/27/07
Effective 06/04/07
(72 FR 16934)
Termination of a Foreign Private Issuer‟s Registration of a Class
of Securities under Section 12(G) and Duty to File Reports
under Section 13(A) or 15(D) of the Securities Exchange Act of
1934
34-54356
Issued 12/04/06
Effective 01/11/07
(71 FR 74698)
Electronic Filing of Transfer Agent Forms
33-8644
Issued 12/21/05
Effective 12/27/05
(70 FR 76626)
Revisions to Accelerated Filer Definition and Accelerated
Deadlines for Filing Periodic Reports
(see effective date section of release for exceptions)
EDGAR Filer Manual (Volume II)
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December 2010
33-8591
Issued 7/19/05
Effective 12/1/05
(70 FR 44722)
Securities Offering Reform
33-8590
Issued 07/18/05
Rulemaking for EDGAR System
Effective 09/19/2005
Effective 02/06/2006
Effective 6/12/2006
(70 FR 43558)
Technical amendments to Reg S-T Series and class requirements
Additional mandatory electronic filings for investment
companies
33-8587
Issued 7/15/05
Effective 8/22/05
(70 FR 42234)
Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies
34-52029
Issued 7/14/05
Effective 8/22/05
Compliance 4/24/06
(70 FR 42456)
Removal From Listing and Registration of Securities Pursuant to
Section 12(d) of the Securities Exchange Act of 1934
33-8529
Issued 02/03/05
Effective 03/16/05
(70 FR 6556)
XBRL Voluntary Financial Reporting Program on the EDGAR
System
33-8518
Issued 12/22/04
Effective 3/08/05
(70 FR 1506)
Asset-Backed Securities
34-50486
Issued 10/04/04
Effective 11/08/04
(69 FR 60287)
Proposed Rule Changes of Self-Regulatory Organizations
33-8400A
Issued 8/04/04
Effective 8/23/04
(69 FR 48370)
Additional Form 8-K Disclosure Requirements and Acceleration
of Filing Date; Correction
December 2010
xix
EDGAR Filer Manual (Volume II)
33-8410
Issued 4/21/04
Effective 4/26/04
(69 FR 22704)
Mandated Electronic Filing for Form ID
33-8170
34-47069
35-27627
Issued 12/27/02
Mandated Electronic Filing and Website Posting for Forms 3, 4,
and 5
33-8009
Issued 5/14/02
Effective 5/24/02
and 11/4/02
(67 FR 36677)
Mandated EDGAR Filing for Foreign Issuers
33-8007
Issued 9/17/01
(66 FR 49829)
Updated version of the EDGARLink software
33-7999
Issued 7/30/01
(66 FR 42941)
Next stage of EDGAR Modernization
33-7933
Issued 1/16/01
Effective 2/02/01
(66 FR 8764)
Next stage of EDGAR Modernization
33-7855
Issued 4/24/00
Effective 5/30/00
Rules for the next stage of EDGAR Modernization
Effective 7/10/00
Effective 1/1/01
(65 FR 24788)
Diskette submissions not accepted
Financial Data Schedule requirement removed
33-7789
Issued 1/20/00
Effective 1/24/00
(65 FR 3123)
Adopted updated filing form types in Filer Manual
33-7755
Issued 10/07/99
Effective 10/16/99
(64 FR 56430)
CompuServe discontinued electronic mail service
EDGAR Filer Manual (Volume II)
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December 2010
33-7684
Issued 5/17/99
Effective 6/28/99
(64 FR 27888)
Rules for the first stage of EDGAR modernization adopted
34-40934
Issued 1/12/99
Compliance date 4/1/99
(64 FR 2834)
Electronic filing of Form 13F made mandatory
33-7472
Issued 10/24/97
Effective 1/1/98
(62 FR 58647)
Commission will no longer accept, in paper, filings required to
be submitted electronically, except in a hardship situation
33-7427
Issued 7/1/97
(62 FR 36450)
Minor and technical rule amendments, including the elimination
of transition rules applicable to the phase-in period
33-7122
Issued 12/19/94
(59 FR 67752)
Rules and phase-in schedule made final. Final phase-in lists
published. Minor rule amendments adopted
33-6977
Issued 2/23/93
(58 FR 14628)
Interim rules applicable to electronic filing in general, and
specifically to the Division of Corporation Finance filers
IC-19284
Issued 2/23/93
(58 FR 14848)
Interim rules specific to investment companies
35-25746
Issued 2/23/93
(58 FR 14999)
Interim rules specific to public utility holding companies
33-6980
Issued 2/23/93
(58 FR 15009)
Rules relating to payment of filing fees to the SEC's lockbox in
Pittsburgh, Pennsylvania
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EDGAR Filer Manual (Volume II)
1.
INTRODUCTION TO VOLUME II
1.1
Organization of this Manual
This volume is divided into chapters and appendices. The paragraph 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. From this
point forward, when we reference EDGARLite, we are referencing the custom templates created
for some SEC Forms. From this point forward, when we reference EDGARLink, we are
referencing the offline EDGARLink submission assembler for EDGAR. When we reference
EDGARLink Online, we are referencing the online application used to assemble EDGARLink
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 Submissions
CHAPTER 8 – Preparing and Transmitting Submissions Using EDGARLink Online
CHAPTER 9 – Preparing and Transmitting EDGARLite Submissions
CHAPTER 10 – Preparing and Transmitting Online Submissions
CHAPTER 11 – Filer-Constructed XFDL/XML Submissions
CHAPTER 12 – Determining the Status of your Filing
APPENDICES:
A
Messages Reported by EDGAR
This appendix provides information on acceptance, suspension, and EDGAR error messages,
including all HTML/PDF error messages.
B
Frequently Asked Questions
Answers to some of the questions asked most frequently by EDGAR filers.
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
Paper Forms
Form SE
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EDGAR Filer Manual (Volume II)
Form TH
E
Notification of Reliance on Temporary Hardship Exemption
Automated Conformance Rules for EDGAR Data Fields
EDGAR recognizes specific values for certain fields in each submission template. This appendix
lists the values you must provide in the specified format.
F
Glossary of Commonly Used Terms, Acronyms, and Abbreviations
This glossary contains terms, acronyms, and abbreviations used in the Filer Manual.
G
Form 13F Special Electronic Filing Instructions
This glossary contains instructions specifically for preparing electronic filings of reports on Form
13F sent to the SEC on EDGAR submission types 13F-HR and 13F-NT.
1.1.1
Conventions Used in the Filer Manual
As you read in this volume you should notice attributes assigned to certain types of text:
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
Return Copy check box
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 bolded:
The C:\temp directory
Click on the EDGARInstaller.exe icon
Keystroke combinations appear between less-than and greater-than brackets
and in upper case:
<ALT-TAB>
<CTRL-C>
Internet Hyperlinks appear underlined:
Home
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December 2010
2.
QUICK GUIDE TO EDGAR FILING
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 http://www.sec.gov/about/forms/regst.pdf.
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 15-12B, 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 15-12B filer would have registered a class of securities under Section
12(b).
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.
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, or
XML primary documents. If you include graphics in your HTML document, then you
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EDGAR Filer Manual (Volume II)
must also include the .jpg and .gif files that contain your graphics. Two other document
formats can be used as unofficial copies: PDF and 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. Keep in mind that not all document
formats are permitted for each tool.
2.1.1
Using EDGARLink Templates
If you are using EDGARLink templates, once you have all of your documents prepared,
you can assemble your submission. Open the template and after you select the submission
type, you will be required to answer a few questions about the filing. This data will be
added to your document content, and is commonly called the header, or supplemental
data.
There are a few questions on the main page of EDGARLink templates that require special
attention. The Live/Test radio buttons designate whether your submission will be
considered a live filing. A test filing allows you to make sure that the submission is
correct by checking all of the assembled documents and applying host 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 count
towards your requirement to file with the SEC. Test filings are routinely removed from
the internal system after a short period, generally six calendar days.
The Return Copy check box allows you to indicate whether you want to receive an exact
copy of your filing after processing is complete. Return copies can be retrieved from
some of the EDGAR Websites. Submission contact information may be used by the Filer
Support Branches or the SEC divisions if there is an issue with your filing. Including this
information allows us to get in touch with you quickly. Using the Notification section of
the template, you may add multiple e-mail addresses where you would like a notification
message sent. Using other pages on the templates, you may add secondary documents,
provide fee information, and validate your filing. You must save your filing to your local
computer.
After the filing is assembled, you can transmit it to the host system. There are a number
of mechanisms you can use for transmission when using EDGARLink templates. The
most frequently used is the Internet. A few filers send in submissions via modems using
direct dial and PPP. Some large volume filers transmit via a dedicated
telecommunications link. For Internet and PPP transmissions, you must login to the host
system to transmit your filing. To do this you must be a registered EDGAR filer. If you
have not yet registered you will find the details on this process in Volume I of the Filer
Manual.
2.1.2
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.
When certain specific criteria are met, a PDF attachment may qualify as an official document. Please refer
to section 5.2.3 – Unofficial PDF for more information.
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You must login 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 submissions is correct
by checking all of the assembled documents and applying host processing steps like
determining the fee and checking yor security codes. For a test submissions, fees will not
be deducted, the filing will not be disseminated, and your filing will not count towards
your requirement to file with the SEC. Test filings are routinely removed from the
internal system after a short period, generally six calendar days.
EDGARLink Online allows you to indicate whether you want to receive an exact copy of
your filing after processing is complete. Return copies can be retrieved from the EDGAR
Filing Website and the EDGAR OnlineForms/XML Website. Submission contact
information may be used by the Filer Support Branches or the SEC divisions 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.
2.1.3
EDGAR OnlineForms/XML Website
The EDGAR OnlineForms/XML 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 do not have to worry about the differences between the
types of data or how it is translated into the resulting XML document. You must login to
the EDGAR OnlineForms/XML 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 given a number of chances to review and correct information before you
send it to the host system. Similar to EDGARLink templates and EDGARLink Online
submissions, you may include a number of e-mail addresses for filing notifications. You
may also request a return copy which provides you with an exact copy of the submission
after it has been processed. You can save the document locally, you will not be able to
retrieve the document to make corrections. As a final step, you must transmit the
submission in the same Internet session.
2.1.4
After a Submission is Filed
No matter what tool you use to transmit your submission, the EDGAR system will
provide you with an accession number after transmission. The accession number is a
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EDGAR Filer Manual (Volume II)
unique number that identifies your submission. The first ten digits are the CIK of the
entity that logged in to submit the filing. The next two digits define the current year. The
final digits are assigned sequentially by 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, review e-mail
notifications, and examine your return copy via the Internet using the EDGAR Websites.
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 host 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. (There are
some individual documents that are considered non-public which will not be immediately
disseminated. They may be subsequently disseminated by the SEC 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
This section is a quick start guide to the filing process. It is not intended to explain all
you need to know about filing, but should get you started in the right direction. Although
the filing process is different based on the submission type transmitted, the tools used,
and the needs of the filer, some general steps need to be followed for most filings. They
are listed in checklist form for you in Table 2-1: Filing Checklist, and then described in
detail in the following sections.
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Table 2-1: Filing Checklist
Step
Activity
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.
No info blank cell
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.
No info blank cell
3
Determine the submission type you need to
file and then find it in the indexes in Chapter
3, INDEX TO FORMS.
No info blank cell
4
If your filing requires a fee, ensure that the
funds are available in your account. See
Chapter 4, FILING FEE INFORMATION.
No info blank cell
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
OnlineForms/XML Website, you do not
need to create the primary document.
No info blank cell
6
Download and/or install the tool you will need
to assemble the submission. (Note you do
not need to perform this step for OnlineForms
or EDGARLink Online.) See Section 7.2
Installation for EDGARLink and Sections 9.2
What is Microsoft InfoPath 2003 and 9.3
Downloading and Installing Templates for
EDGARLite.
No info blank cell
7
Use the tool to create or assemble the
submission. (Note you do not need to
perform this step for OnlineForms or
EDGARLink Online.) See Sections 7.3
Preparing Your EDGARLink Submission
through 7.5 Saving Your Submission for
No info blank cell
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Completion
EDGAR Filer Manual (Volume II)
Step
Activity
Completion
EDGARLink; and Sections 9.4 Preparing your
EDGARLite Submission through 9.5 Saving
Your Filing, for EDGARLite.
REMEMBER TO ALWAYS VALIDATE
YOUR SUBMISSION!
EDGARLink
Online 6 & 7
Access the EDGAR Filing Website, and
select EDGARLink Online Form Submission.
See Chapter 8 for completing an EDGARLink
Online Submission. Skip to step 11.
No info blank cell
OnlineForms
6&7
Access the EDGAR OnlineForms/XML
Website and enter your form data. See
Chapter 9 for details. Transmit after data
entry and verification. Skip to step 11.
No info blank cell
8
Transmit a test submission to the EDGAR
system. See Section 7.6.5 Test Submissions
for EDGARLink and Section 9.6 Transmitting
XML Submissions.
No info blank cell
9
Review your acceptance/suspense message
or return copy to determine if changes are
required. See Section 12.5, Submission
Information for instructions.
No info blank cell
10
Transmit a live submission to the EDGAR
system. Make sure that a live file is created
by having the live button clicked. See Section
7, Transmissions to EDGAR for EDGARLink
and Section 9.Transmitting XML
Submissions.
No info blank cell
11
Review your acceptance/suspense message.
If necessary, correct errors and file again.
See Section 12.5, Submission Information for
instructions on reviewing your
acceptance/suspense message.
No info blank cell
2.3
General Information for Filers
2.3.1
Hours of Operation
EDGAR accepts 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 started but
not completed by 10:00 p.m. Eastern Time may be canceled, and you may have to resubmit on the next business day.
2.3.2
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
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browser as an integral part of EDGAR, providing our interface to the EDGAR Filing
Website.
2.3.3
Browser Differences
Internet browser for EDGARLink Online: Internet Explorer 7.0 or 8.0, or Firefox 3.5 or
greater. For other EDGAR Websites, we recommend that you use Netscape version 5.0
or later, or Internet Explorer version 5.0 or later. The EDGAR Filing Website does not
support Netscape version 6.0. Both browsers comply with Secure Socket Layer (SSL)
communications that you will use to reach the EDGAR Filing Website, and are easy to
obtain. Which browser you use is a personal preference. This section covers some
functions that are innate to browsers, how your browser should be set up, and the
differences between Netscape and IE. You should be aware that there might be subtle
differences if you are using IE or other versions of Netscape.
Firefox Menu Bar
Netscape Menu Bar
Internet Explorer Menu Bar
Figure 2-1: Browser Menu Bars
The 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 largest difference between the browsers
is button appearances and where to update the preference settings. 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.
2.3.4
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
December 2010
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EDGAR Filer Manual (Volume II)
for EDGAR access codes. The Form ID must be filed electronically through the EDGAR
Filer Management Website and an accompanying manually signed and notarized
authentication document must be faxed to the Commission. If we do not receive your fax,
we cannot accept your application. Details of this process are covered in other sections of
this manual. Once you have obtained your access codes, you will be ready to login to
EDGAR, download submission templates, transmit submissions, run company queries,
update your company information, or change your password or CCC (CIK Confirmation
Code).
2.3.5
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. These
offices respond 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.
For general fee information, contact our Fee Account Services Branch in the Office of
Financial Management at (202) 551-8989.
For Substantive questions, contact your Division
For filing content, rule interpretations, filing date adjustments, and hardship exemption
requests, contact the division that reviews the filing, the Division of Corporation Finance
or Investment Management, during normal business hours 9:00 a.m. to 5:30 p.m., Eastern
Time.
Division of Corporation Finance:
For help with filings reviewed by the Division of Corporation Finance, contact the
Office of Information Technology in the Division of Corporation Finance at (202)
551-3600.
Division of Trading and Markets
For help with short sale filings, contact the Office of Interpretation and Guidance
in the Division of Trading and Markets inquiry line: (202) 551-5777.
Division of Investment Management:
For help with Form 13-F, call the IM Chief Counsel inquiry line: (202) 551-6865.
For help with Form N-SAR or Form 24F-2, call the N-SAR/24F-2 inquiry line:
(202) 551-6703.
For help with investment company filings (except Forms 13-F, N-SAR and 24F2), call the IM EDGAR inquiry line: (202) 551-6989.
For questions concerning post-acceptance corrections and withdrawals, first
please read our notice, “IM EDGAR Post-Acceptance Corrections” on the
Information for EDGAR Filers web page (http://www.sec.gov/info/edgar.shtml).
EDGAR Filer Manual (Volume II)
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December 2010
For questions concerning series and classes (contracts), first read our notice,
“Series and Class (Contract) Notice and FAQ‟s,” on the Information for EDGAR
Filers web page (http://www.sec.gov/info/edgar.shtml).
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:
http://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:
URL
Name
https://www.edgarfiling.sec.gov
EDGAR Filing Website
Transmit EDGARLink Templates
Transmit XFDL Filer-Constructed Forms
Prepare and transmit EDGARLink Online Form
filings
Updates of Entity Information
Filing Status and E-mail Notifications
Return Copy Retrieval
Download EDGARLink Application
Download EDGARLink templates and fee rate table
https://www.onlineforms.edgarfiling.sec.gov
EDGAR OnlineForms/XML Website
Prepare and transmit Ownership filings
Prepare and transmit Form D Filings
Transmit XML Filer-Constructed Submissions
Updates of Entity Information
Filing Status and E-mail Notifications
Return Copy Retrieval
Download EDGARLite templates
https://www.filermanagement.edgarfiling.sec.gov/
EDGAR Filer Management Website
Apply for EDGAR Access (New)
Generate Access Codes (New/Replacement)
Update Passphrase
Convert Paper Only Filer to Electronic Filer
EDGAR Access for New Serial Companies
December 2010
2-9
EDGAR Filer Manual (Volume II)
Download the Filer Manual
http://www.edgarcompany.sec.gov
EDGAR Company Database
Public Access to company information
SEC‟s Public Website
http://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
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 Internet Explorer to store the URLs for the sites
you use frequently.
EDGAR Filer Manual (Volume II)
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December 2010
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 Permanent 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: 15-12B, 15-12G, and 15-15D. The last three digits represent the sections of the 34 Act
under which the filer is registered.
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 or template that should be used to
create the form. The options in this column are EDGARLink and the corresponding templates,
EDGARLink Online, EDGARLite and the corresponding templates and OnlineForms. There is a
section in this manual describing in detail each of these tools. Chapter 7 PREPARING AND
TRANSMITTING EDGARLINK SUBMISSIONS describes EDGARLink. Chapter 8
PREPARING AND TRANSMITTING EDGARLINK ONLINE SUBMISSIONS describes
EDGARLink Online. Chapter 9, PREPARING AND TRANSMITTING EDGARLITE
SUBMISSIONS describes EDGARLite. Chapter 10, PREPARING AND TRANSMITTING
ONLINE SUBMISSIONS, describes online submissions using the EDGAR OnlineForms/XML
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. 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 for simplicity we include both the initial form and the associated
amendment in the Submission Type column.
December 2010
3-1
EDGAR Filer Manual (Volume II)
3.1
Alpha/Numeric
Submission Type
1-E, 1-E/A
1-E AD, 1-E AD/A
2-E, 2-E/A
10-12B, 10-12B/A
10-12G, 10-12G/A
10-D, 10-D/A
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Notification under Regulation E by small
business investment companies and business
development companies.
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Sales material filed pursuant to Rule 607 under EDGARLink
Regulation E.
Template 3
Report of sales of securities pursuant to Rule
609 under Regulation E.
Initial general form for registration of a class of
securities pursuant to section 12(b)
Initial general form for registration of a class of
securities pursuant to section 12(g)
Periodic distribution reports by Asset-Backed
issuers pursuant to Rule 13a-17 or 15d-17
EDGAR Filer Manual (Volume II)
3-2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2010
Submission Type
10-K, 10-K/A
10-KT, 10-KT/A
10-Q, 10-Q/A
10-QT, 10-QT/A
11-K, 11-K/A
11-KT, 11-KT/A
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Annual report pursuant to section 13 and 15(d)
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Transition report pursuant to Rule 13a-10 or
15d-10
Quarterly report pursuant to sections 13 or
15(d)
Transition report pursuant to Rule 13a-10 or
15d-10
Annual report of employee stock purchase,
savings and similar plans
Transition report pursuant to rule 13a-10 or
15d-10
13F-HR, 13F-HR/A Initial Quarterly Form 13F Holdings report filed
by institutional managers
December 2010
3-3
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Specification
13F-NT, 13F-NT/A
144, 144/A
15-12B, 15-12B/A
15-12G, 15-12G/A
15-15D, 15-15D/A
15F-12G,
15F12G/A
15F-15D,
15F15D/A
Initial Quarterly Form 13F Notice Report filed
by institutional managers
Filing for proposed sale of securities under
Rule 144
Notice of termination of registration of a class
of securities under Section 12(b)
Notice of termination of registration of a class
of securities under Section 12(g)
Notice of suspension of duty to file reports
pursuant to Section 13 and 15(d) of the Act
Notice of termination of a foreign private
issuer‟s registration of a class of securities
under Section 12(g).
Notice of a foreign private issuer‟s suspension
of duty to file reports pursuant to Section 13
and 15(d) of the Act
EDGAR Filer Manual (Volume II)
3-4
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
December 2010
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Technical
Specification
18-12B, 18-12B/A
18-12G, 18-12G/A
18-K, 18-K/A
20-F, 20-F/A
20FR12B,
20FR12B/A
20FR12G,
20FR12G/A
24F-2NT,
24F-2NT/A
December 2010
Form for initial registration of securities of
foreign governments or political subdivisions
pursuant to section 12(b)
Form for initial registration of securities of
foreign governments or political subdivisions
thereof pursuant to section 12(g)
Annual report for foreign governments and
political subdivisions
Annual and transition report of foreign private
issuers pursuant to sections 13 or 15(d)
Form for initial registration of a class of
securities of foreign private issuers pursuant to
section 12(b)
Form for initial registration of a class of
securities of foreign private issuers pursuant to
section 12(g)
Rule 24F-2 notice filed on Form 24F-2
3-5
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
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
OnlineForms
Ownership XML
Technical
Specification
305B2, 305B2/A
Application for designation of a new trustee
under the Trust Indenture Act
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
25, 25/A
Notification filed by issuer to voluntarily
withdraw a class of securities from listing and
registration on a national securities exchange
4, 4/A
Statement of changes in beneficial ownership
of securities
OnlineForms
Ownership XML
Technical
Specification
40-6B, 40-6B/A
Application under the Investment Company Act EDGARLink
by an employees‟ securities company
Template 3
XFDL Technical
Specification
40-17F1,
40-17F1/A
Initial certificate of accounting of securities and
similar investments in the custody of
management investment companies filed
pursuant to Rule 17f-1 of the Investment
Company Act of 1940 filed on Form N-17F-1
EDGAR Filer Manual (Volume II)
3-6
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2010
Submission Type
40-17F2,
40-17F2/A
40-17G, 40-17G/A
40-17GCS,
4017GCS/A
40-24B2,
40-24B2/A
40-33, 40-33/A
40-8B25
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Initial certificate of accounting of securities and
similar investments in the custody of
management investment companies filed
pursuant to Rule 17f-2 of the Investment
Company Act of 1940 filed on Form N-17F-2
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Fidelity bond filed pursuant to Rule 17g1(g)(1)
of the Investment Company Act of 1940
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Filings of claim or settlement pursuant to rule
17g-1(g)(1)(2) or (3) of the Investment
Company Act of 1940
Filing of sales literature pursuant to Rule 24b2
under the Investment Company Act of 1940
Copies of all stockholder derivative actions filed EDGARLink
with a court against an investment company or Template 2
an affiliate thereof pursuant to Section 33 of the
Investment Company Act of 1940
EDGARLink
Online
XFDL Technical
Specification
Document or report
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
40-8F-2, 40-8F-2/A Initial application for deregistration pursuant to
Investment Company Act Rule 0-2
December 2010
3-7
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Specification
40-APP, 40-APP/A
40-F, 40-F/A
40FR12B,
40FR12B/A
40FR12G,
40FR12G/A
40-OIP, 40-OIP/A
424A
424B1
Applications under the Investment Company
Act other than those reviewed by Office of
Insurance Products
Annual reports filed by certain Canadian
issuers pursuant to Section 15(d) and Rule
15d-4
Registration of a class of securities of certain
Canadian issuers pursuant to Section 12(b) of
the 1934 Act
Registration of a class of securities of certain
Canadian issuers pursuant to Section 12(g) of
the 1934 Act
Applications under the Investment Company
Act reviewed by Office of Insurance Products
Prospectus filed pursuant to Rule 424(a)
Prospectus filed pursuant to Rule 424(b)(1)
EDGAR Filer Manual (Volume II)
3-8
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
EDGARLink
December 2010
Submission Type
424B2
424B3
424B4
424B5
424B7
424B8
425
December 2010
Description
Prospectus filed pursuant to Rule 424(b)(2)
Prospectus filed pursuant to Rule 424(b)(3)
Prospectus filed pursuant to Rule 424(b)(4)
Prospectus filed pursuant to Rule 424(b)(5)
Prospectus filed pursuant to Rule 424(b)(7)
Prospectus filed pursuant to Rule 424(b)(8)
Filing under Securities Act Rule 425 of certain
prospectuses and communications in
connection with business combination
3-9
Tool/
Template
Number
FilerConstructed
Form Spec.
Online
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGAR Filer Manual (Volume II)
Submission Type
485APOS
485BPOS
485BXT
486APOS
486BPOS
487
497
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Post-effective amendment filed pursuant to
Securities Act Rule 485(a) (this filing cannot be
submitted as a 1940 Act only filing)
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
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
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Post-effective amendment to filing filed
pursuant to Securities Act Rule 486(a)
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
Post-effective amendment filed pursuant to
Securities Act Rule 485(b) (this filing cannot be
submitted as a 1940 Act only filing)
Post-effective amendment to filing filed
pursuant to Securities Act Rule 486(b)
Pre-effective pricing amendment filed pursuant
to Securities Act Rule 487
Definitive materials filed under paragraph (a),
(b), (c), (d), (e) or (f) of Securities Act Rule 497
EDGAR Filer Manual (Volume II)
3-10
December 2010
Submission Type
497AD
497H2
497J
497K
497K1
Description
Tool/
Template
Number
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Filing by certain investment companies of
Securities Act Rule 482 advertising in
accordance with Securities Act Rule 497 and
the Note to Rule 482(c)
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Filings made pursuant to Rule 497(h)(2)
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Certification of no change in definitive materials EDGARLink
under paragraph (j) of Securities Act Rule 497 Template 3
EDGARLink
Online XML
Technical
Specification
Summary Prospectus for certain open-end
management investment companies filed
pursuant to Securities Act Rule 497(k)
Cannot be used until March 31, 2009.
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Profiles for certain open-end management
investment companies filed pursuant to
Securities Act Rule 497(k)(1)(i)
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
business (5:30 PM EST) on March 30, 2009.
Profiles for certain open-end management
investment companies filed pursuant to
Securities Act Rule 497(k)(1)(ii)
Will no longer be accepted after close of
business (5:30 PM EST) on March 30, 2009.
December 2010
XFDL Technical
Specification
EDGARLink
Online
Will no longer be accepted after close of
497K2
FilerConstructed
Form Spec.
3-11
EDGAR Filer Manual (Volume II)
Submission Type
497K3A
Description
Profiles for certain open-end management
investment companies filed pursuant to
Securities Act Rule 497(k)(1)(iii)(A)
Will no longer be accepted after close of
business (5:30 PM EST) on March 30, 2009.
497K3B
Profiles for certain open-end management
investment companies filed pursuant to
Securities Act Rule 497(k)(1)(iii)(B)
Will no longer be accepted after close of
business (5:30 PM EST) on March 30, 2009.
Tool/
Template
Number
FilerConstructed
Form Spec.
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
5, 5/A
Annual statement of changes in beneficial
ownership of securities
OnlineForms
Ownership XML
Technical
Specification
6-K, 6-K/A
Current report of foreign issuer pursuant to
Rules 13a-16 and 15d-16 Amendments
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-A12B, 8-A12B/A
8-A12G, 8-A12G/A
8-K, 8-K/A
Form for the registration / listing of a class of
securities on a national securities exchange
pursuant to section 12(b)
Form for registration of a class of securities
pursuant to section 12(g)
Current report filing
EDGAR Filer Manual (Volume II)
3-12
December 2010
Submission Type
8-K12B, 8-K12B/A
8-K12G3,
8-K12G3/A
8-K15D5,
8-K15D5/A
Description
Notification that a class of securities of
successor issuer is deemed to be registered
pursuant to section 12(b)
Notification that a class of securities of
successor issuer is deemed to be registered
pursuant to section 12(g)
Notification of assumption of duty to report by
successor issue under section 15(d)
Tool/
Template
Number
FilerConstructed
Form Spec.
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
ABS 15G,
ABS 15G/A
Asset-backed securities report pursuant to
Section 15G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
ANNLRPT,
ANNLRPT/A
Periodic Development Bank filing, submitted
annually
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
APP WD,
APP WD/A
ARS, ARS/A
AW
December 2010
Withdrawal of an application for exemptive or
other relief from the federal securities laws
Annual report to security holders
Withdrawal of amendment to a registration
statement filed under the Securities Act
3-13
EDGAR Filer Manual (Volume II)
Submission Type
AW WD
CB, CB/A
CORRESP
Description
Withdrawal of a request for withdrawal of an
amendment to a registration statement
Notification form filed in connection with certain
tender offers, business combinations and rights
offerings, in which the subject company is a
foreign private issuer of which less than 10% of
its securities are held by U.S. persons
Tool/
Template
Number
FilerConstructed
Form Spec.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
A correspondence can be sent as a document EDGARLink
with another submission type or can be sent as Template 4
a separate submission.
EDGARLink
Online
XFDL Technical
Specification
EDGARLink
Online XML
Technical
Specification
D, D/A
Official notice of an offering of securities that is
made without registration under the Securities
Act in reliance on an exemption provided by
Regulation D and Section 4(6) under the Act.
Online Forms N/A
DEF 14A
Definitive proxy statements
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
EDGARLink
DEF 14C
DEFA14C
Definitive information statements
Definitive additional information statement
materials including Rule 14(a)(12) material
EDGAR Filer Manual (Volume II)
3-14
December 2010
Submission Type
DEFC14A
DEFC14C
DEFM14A
DEFM14C
DEFN14A
DEFR14A
DEFR14C
December 2010
Description
Definitive proxy statement in connection with
contested solicitations
Definitive information statement - contested
solicitations
Definitive proxy statement relating to a
merger,acquisition, or disposition
Definitive information statement relating to
merger or acquisition
Definitive proxy statement filed by non
management
Definitive revised proxy soliciting materials
Definitive revised information statement
materials
3-15
Tool/
Template
Number
FilerConstructed
Form Spec.
Online
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGAR Filer Manual (Volume II)
Submission Type
DEL AM
DFAN14A
DFRN14A
Description
Separately filed delaying amendment under
Securities Act Rule 473 to delay effectiveness
of a 1933 Act registration statement
Definitive additional proxy soliciting materials
filed by non-management including Rule
14(a)(12) material
Tool/
Template
Number
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Revised definitive proxy statement filed by non- EDGARLink
management
Template 2
EDGARLink
Online
DSTRBRPT,
DSTRBRPT/A
F-1, F-1/A
F-10, F-10/A
Distribution of primary obligations Development EDGARLink
Bank report
Template 2
Registration statement for securities of certain
foreign private issuers
Registration statement for securities of certain
Canadian issuers under the Securities Act of
1933
EDGAR Filer Manual (Volume II)
3-16
FilerConstructed
Form Spec.
XFDL Technical
Specification
EDGARLink
Online XML
Technical
Specification
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2010
Submission Type
F-10EF
F-10POS
F-1MEF
F-3, F-3/A
F-3ASR
F-3DPOS
F-3MEF
December 2010
Description
Auto effective registration statement for
securities of certain Canadian issuers under
the Securities Act of 1933
Post-effective amendment to a F-10EF
registration
Tool/
Template
Number
FilerConstructed
Form Spec.
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
A new registration statement filed under Rule
EDGARLink
462(b) to add securities to a prior related
Template 1
effective registration statement filed on Form F1
EDGARLink
Online
XFDL Technical
Specification
Registration statement for specified
transactions by certain foreign private issuers
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Automatic shelf registration statement of
securities of well-known seasoned issuers
Post-Effective amendment to a F-3D
registration
A new registration statement filed under Rule
462(b) to add securities to a prior related
effective registration statement filed on Form F
3
3-17
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Specification
F-4 POS
F-4, F-4/A
F-4EF
F-4MEF
F-6 POS
F-6, F-6/A
F-6EF
Post-effective amendment to a F-4EF
registration
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Auto effective registration statement for
securities by certain foreign private issuers in
connection with certain business combination
transactions
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
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
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Post-effective amendment to a F-6EF
registration
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Registration statement for securities issued by
foreign private issuers in certain business
combination transactions
Registration statement for American Depositary EDGARLink
Receipts representing securities of certain
Template 1
foreign private issuers
EDGARLink
Online
XFDL Technical
Specification
Auto effective registration statement for
American Depositary Receipts representing
securities of certain foreign private issuers
XFDL Technical
Specification
EDGAR Filer Manual (Volume II)
3-18
EDGARLink
Template 1
EDGARLink
Online XML
Technical
Specification
December 2010
Submission Type
F-7 POS
F-7, F-7/A
F-8 POS
F-8, F-8/A
F-80, F-80/A
F-80POS
December 2010
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
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
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Post-effective amendment to a F-8 registration
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
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
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Registration of securities of certain Canadian
issuers to be issued in exchange offers or a
business combination under the Securities Act
of 1933
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Post-effective amendment to a F-80
registration
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Post-effective amendment to a F-7 registration
3-19
EDGAR Filer Manual (Volume II)
Submission Type
F-9 POS
F-9, F-9/A
F-9EF
F-N, F-N/A
FWP
F-X, F-X/A
N-1, N-1/A
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Registration of securities of certain investment
grade debt or investment grade preferred
securities of certain Canadian issuers under
the Securities Act of 1933
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Auto effective registration of securities of
certain investment grade debt or investment
grade preferred securities of certain Canadian
issuers under the Securities Act of 1933
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Notification of the appointment of an agent for
service by certain foreign institutions
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Post-effective amendment to a F-9EF
registration
Filing under Securities Act Rules 163/433 of
free writing prospectuses
For appointment of agent for service of process EDGARLink
by issuers registering securities
Template 2
Initial registration statement filed on Form N-1
for open-end management investment
companies.
EDGAR Filer Manual (Volume II)
3-20
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
December 2010
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Specification
N-14 8C, N-14
8C/A
N-14, N-14/A
N-14MEF
N-18F1, N-18F1/A
N-1A, N-1A/A
N-2, N-2/A
December 2010
Initial registration statement filed on Form N14
by closed-end investment company (business
combinations)
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Initial registration statement filed on Form N14
for open-end investment company, including
those filed with automatic effectiveness under
Rule 488 (business combinations)
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
A new registration statement filed on Form N14
by closed end investment companies filed
under Securities Act Rule 462(b) of up to an
additional 20% of securities for an offering that
was registered on Form N-14
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Initial notification of election pursuant to Rule
18f-1 filed on Form N-18F-1
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Initial registration statement filed on Form N1A
for open-end management investment
companies
Initial filing of a registration statement on Form
N-2 for closed-end investment companies
3-21
EDGAR Filer Manual (Volume II)
Submission Type
N-23C-2,
N-23C-2/A
N-23C3A,
N23C3A/A
N-23C3B,
N23C3B/A
N-23C3C,
N23C3C/A
N-27D-1,
N-27D-1/A
N-2MEF
N-3, N-3/A
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Notice by closed-end investment companies of
intention to call or redeem their own securities
under Investment Company Act Rule 23c-2
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
A new registration statement on Form N-2 filed
under Securities Act Rule 462(b) by closed-end
investment companies of up to an additional
20% of securities for an offering that was
registered on Form N-2
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Initial registration statement on Form N-3 for
separate accounts (management investment
companies)
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Notification of periodic repurchase offer Filed
pursuant to Rule 23c-3(b) only
Filing pursuant to Rule 23c-3(c) only on Form
N-23C-3
Filing pursuant to Rule 23c-3(b) and (c) on
Form N-23C-3
Accounting for segregated trust accounts on
Form N-27D-1
EDGAR Filer Manual (Volume II)
3-22
December 2010
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Specification
N-30B-2
N-30D, N-30D/A
N-4, N-4/A
N-5, N-5/A
N-54A, N-54A/A
N-54C, N-54C/A
N-6, N-6/A
December 2010
Periodic and interim reports mailed to
investment company shareholders (other than
annual and semi-annual reports mailed to
shareholders pursuant to Rule 30e-1)
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Initial annual and semi-annual reports mailed to EDGARLink
investment company shareholders pursuant to Template 3
Rule 30e-1 (other than those required to be
submitted as part of Form NCSR)
EDGARLink
Online
XFDL Technical
Specification
Initial registration statement on Form N-4 for
separate accounts (unit investment trusts)
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 1
XFDL Technical
Specification
Registration statement for small business
investment companies
Notification of election by business
development companies filed on Form N-54A
Notification of withdrawal by business
development companies filed on Form N-54C
Registration statement for separate accounts
(unit investment trusts)
3-23
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
EDGARLink
Online
N-6F, N-6F/A
N-8A, N-8A/A
N-8B-2, N-8B-2/A
N-8B-3, N-8B-3/A
N-8B-4, N-8B-4/A
N-8F, N-8F/A
FilerConstructed
Form Spec.
EDGARLink
Online XML
Technical
Specification
Notice of intent by business development
EDGARLink
companies to elect to be subject to Sections 55 Template 2
through 65 of the 1940 Act filed on Form N-6F
EDGARLink
Online
XFDL Technical
Specification
Initial notification of registration under section
8(a) filed on Form N-8A
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Initial registration statement for unit investment
trusts filed on Form N-8B-2
Initial registration statement for periodic
payment plans filed on Form N-8B-3
Initial registration statement for face-amount
certificate companies filed on Form N-8B-4
Application for deregistration made on Form N8F
EDGAR Filer Manual (Volume II)
3-24
EDGARLink
Online XML
Technical
Specification
December 2010
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
N-CSR, N-CSR/A
Certified annual shareholder report of
registered management investment companies
filed on Form N-CSR
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-CSRS, NCSRS/A
Certified semi-annual shareholder report of
registered management investment companies
filed on Form N-CSR
N-MFP, N-MFP/A
Monthly Schedule of Portfolio Holdings of
Money Market Funds
N/A
N-MFP Technical
Specification
N-PX, N-PX/A
Annual Report of Proxy Voting Record of
Registered Management Investment
Companies filed on Form N-PX
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
N-Q, N-Q/A
NSAR-A, NSARA/A
NSAR-AT,
NSARAT/A
NSAR-B, NSARB/A
December 2010
Quarterly Schedule of Portfolio Holdings of
Registered Management Investment Company
filed on Form N-Q
Semi-annual report for management
companies filed on Form N-SAR
Transitional semi-annual report filed on Form
N-SAR
Annual report for management companies filed
on Form N-SAR
3-25
EDGAR Filer Manual (Volume II)
Submission Type
NSAR-BT,
NSARBT/A
NSAR-U, NSARU/A
NT 10-K, NT 10K/A
NT 10-D, NT 10D/A
NT 10-Q, NT 10Q/A
NT 11-K, NT 11K/A
Description
Transitional annual report filed on Form NSAR
Annual report for unit investment trusts filed on
Form N-SAR
Notice under Rule 12b25 of inability to timely
file all or part of a Form 10-K, 10-KSB, or 10KT
Notice under Rule 12b25 of inability to timely
file all or part of a Form 10-D
Notice under Rule 12b25 of inability to timely
file all or part of a form 10-Q or 10-QSB
Notice under Rule 12b25 of inability to timely
file all or part of a form 11-K
EDGAR Filer Manual (Volume II)
3-26
Tool/
Template
Number
FilerConstructed
Form Spec.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2010
Submission Type
NT 15D2, NT
15D2/A
NT 20-F, NT 20F/A
NT-NCSR,
NTNCSR/A
NT-NSAR,
NTNSAR/A
POS 8C
POS AM
December 2010
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Notice under Rule 12b25 of inability to timely
file a special report pursuant to section 15d-2
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
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
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Post-effective amendment to a registration
statement that is not immediately effective
upon filing
EDGARLink
Template 1
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Notice under Rule 12b25 of inability to timely
file all or part of an annual report of form 20-F
Notice under Exchange Act Rule 12b-25 of
inability to timely file Form N-CSR (annual or
semi-annual report)
Notice under Exchange Act Rule 12b-25 of
inability to timely file Form N-SAR
3-27
EDGAR Filer Manual (Volume II)
Submission Type
POS AMI
POSASR
POS EX
POS462B
POS462C
PRE 14A
PRE 14C
Description
Post-effective amendment (for filings made
under the 1940 Act only)
Tool/
Template
Number
FilerConstructed
Form Spec.
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Post-effective Amendment to an automatic
EDGARLink
shelf registration statement on Form S-3ASR or Template 1
Form F-3ASR
EDGARLink
Online
XFDL Technical
Specification
Post-effective amendment filed solely to add
exhibits to a registration statement
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 3
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Template 2
XFDL Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Post-effective amendment to Securities Act
Rule 462(b) registration statement
Post-effective amendment to a registration
statement filed under Rule 462(c)
Preliminary proxy statement not related to a
contested matter or merger/acquisition
Preliminary information statement not related to EDGARLink
a contested matter or merger/acquisition
Template 2
EDGARLink
Online
EDGAR Filer Manual (Volume II)
3-28
EDGARLink
Online XML
Technical
Specification
XFDL Technical
Specification
EDGARLink
Online XML
Technical
December 2010
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Specification
PREC14A
PREC14C
PREM14A
PREM14C
PREN14A
PRER14A
PRER14C
December 2010
Preliminary proxy statement in connection with
contested solicitations
Preliminary information statements - contested
solicitations
Preliminary proxy statement relating to a
merger, acquisition, or
This text is long and has been trimmed here. Open the source document for the complete record.
This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.