Filer Manual – Volume II
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Filer Manual – Volume II
EDGAR Filing
VERSION 49
December 2018
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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 (https://www.sec.gov/info/edgar.shtml)
•
EDGAR Gateway to submit filings (https://www.portal.edgarfiling.sec.gov)
•
EDGAR Company Database (https://www.edgarcompany.sec.gov)
EDGAR® and EDGARLink® are registered trademarks of the 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.
To protect the privacy of our filing community, filers are asked not to include social security
numbers in filings submitted to the Commission.
December 2018
EDGAR Filer Manual (Volume II)
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Updates
On December 17, 2018, the following changes will be made to the EDGAR Filer Manual as part
of EDGAR Release 18.4 – Phase 1:
•
In Release No. 34-83663 (83 FR 38768) adopted July 18, 2018, the Commission adopted
new Form ATS-N, which will require alternative trading systems (ATSs) that trade
National Market System (NMS) stocks (NMS Stock ATS) to disclose information about
the broker-dealer that operates the ATS (Broker-Dealer Operator), how the ATS operates,
and the ATS-related activities of the Broker-Dealer Operator and its affiliates. EDGAR
will be updated to add the following new submission form types to EDGAR Online
Forms:
o ATS-N: Initial Form ATS-N (Rule 304(a)(1)(i))
o ATS-N/MA: Material Amendment (Rule 304(a)(2)(i)(A))
o ATS-N/UA: Updating Amendment (Rule 304(a)(2)(i)(B))
o ATS-N/CA: Correcting Amendment (Rule 304(a)(2)(i)(C))
o ATS-N/OFA: Order Display and Fair Access Amendment (Rule 304(a)(2)(i)(D))
o ATS-N-C: Notice of Cessation (Rule 304(a)(3))
o ATS-N-W: Withdrawal of Form ATS-N filing
Pursuant to Rule 304, an entity seeking to operate an NMS Stock ATS must file a Form
ATS-N on or after January 7, 2019. A Legacy NMS Stock ATS must file a Form ATS-N
no earlier than January 7, 2019, and no later than February 8, 2019.
The new Form ATS-N submission form types will be accessible by selecting the 'File
Form ATS-N' link on the EDGAR Filing Website. Additionally, filers may construct
XML submissions for these submission form types by following the "EDGAR Form
ATS-N XML Technical Specification" document available on the SEC's Public Website
(https://www.sec.gov/info/edgar/tech-specs). See Chapter 3 (Index to Forms), Chapter 5
(Constructing Attached Documents and Document Types), Chapter 7 (Preparing and
Transmitting EDGARLink Online Submissions), Chapter 8 (Preparing and Transmitting
Online Submissions), Appendix A (Messages Reported by EDGAR), and Appendix E
(Automated Conformance Rules for EDGAR Data Fields) of the "EDGAR Filer Manual,
Volume II: EDGAR Filing."
•
In Release 33-10486 adopted April 25, 2018, the Commission revised item requirements
to remove fields that ask for personally identifiable information.
o The Social Security Number and Date of Birth fields will be removed from
submission form types CFPORTAL, CFPORTAL/A, and CFPORTAL-W.
o The Social Security Number, Date of Birth, and Foreign ID No. fields will be
removed from submission form types MA, MA-A, and MA/A.
o The Social Security Number field will be removed from submission form types
MA-I and MA-I/A.
December 2018
i
EDGAR Filer Manual (Volume II)
See Chapter 8 (Preparing and Transmitting Online Submissions) of the "EDGAR Filer
Manual, Volume II: EDGAR Filing."
•
Submission form types 1-A, 1-A/A, 1-A POS, DOS, and DOS/A will be updated to
rename “Income Statement Information” to “Statement of Comprehensive Income
Information” in Item 1: Issuer Information. See Chapter 8 (Preparing and Transmitting
Online Submissions) of the "EDGAR Filer Manual, Volume II: EDGAR Filing."
•
“EDGAR Filer Manual Volume I: General Information” will include the following
updates:
o Revised hyperlinks for accessing the EDGAR Filer Manuals on the SEC's Public
Website.
o Revised contact information for the Division of Corporation Finance and the
Division of Investment Management.
o The EDGAR OnlineForms/XML Website will be renamed the EDGAR
OnlineForms Website.
o Section 5.6 will be renamed “Filing Fees”.
See Chapter 2 (General Information for Filers), Chapter 3 (Becoming and EDGAR Filer),
Chapter 4 (Generating EDGAR Access Codes), Chapter 6 (Introduction to Filing on
EDGAR), and Appendix B (Frequently Asked Questions) of the "EDGAR Filer Manual,
Volume I: General Information."
•
“EDGAR Filer Manual Volume II: EDGAR Filing” will include the following updates:
o Revised hyperlinks for accessing the EDGAR Filer Manuals on the SEC's Public
Website.
o Revised contact information for the Division of Corporation Finance and the
Division of Investment Management.
o The EDGAR OnlineForms/XML Website will be renamed the EDGAR
OnlineForms Website.
o Modified content for Chapter 3 (Index to Forms) to update instructions, and
include forms previously overlooked.
o Revised instructions for select form types for ease of understanding.
See Chapter 2 (Quick Guide to EDGAR Filing), Chapter 3 (Index to Forms), Chapter 4
(Filing Fee Information), Chapter 5 (Constructing Attached Documents and Document
Types), Chapter 6 (Interactive Data), Chapter 7 (Preparing and Transmitting
EDGARLink Online Submissions), Chapter 8 (Preparing and Transmitting Online
Submissions), Appendix B (Frequently Asked Questions), Appendix C (EDGAR
Submission Types), Appendix D (Paper Forms), and Appendix F (Glossary of
Commonly Used Terms, Acronyms and Abbreviations).
•
Section titles in Chapter 6 (Interactive Data) of “EDGAR Filer Manual Volume II:
EDGAR Filing” will be updated for readability and ease of understanding.
EDGAR Filer Manual (Volume II)
ii
December2018
EDGAR Release 18.4 – Phase 1 will also implement a number of other changes that do not
impact the EDGAR Filer Manual, which are detailed in the Release Notes.
On January 28, 2019, the following changes will be made as part of EDGAR Release 18.4 –
Phase 2:
•
The Schedule B tab in submission form types MA-A and MA/A will be displayed when
Schedule B information is present from the most recent MA, MA-A, and MA/A filings,
regardless of how a filer responded to the “Does applicant have any indirect owners to be
reported on Schedule B?” field on Schedule A for the initial MA filing. See Chapter 8
(Preparing and Transmitting Online Submissions) of the "EDGAR Filer Manual, Volume
II: EDGAR Filing."
•
In Release 33-10514, adopted June 28, 2018, the Commission revised the requirements
surrounding Inline XBRL (iXBRL):
o The list of submissions that allow the primary document to be in iXBRL format
now include submission form types S-1, S-1/A, S-1MEF, S-3, S-3/A, S-3ASR, S3D, S-3DPOS, S-3MEF, S-4, S-4/A, S-4EF, S-4MEF, S-4 POS, S-11, S-11/A, S11MEF, F-1, F-1/A, F-1MEF, F-3, F-3/A, F-3ASR, F-3D, F-3DPOS, F-3MEF, F4, F-4/A, F-4EF, F-4MEF, F-4 POS, F-10, F-10/A, F-10EF, F-10POS, 485BPOS,
and 497.
o Tagged content can appear in more than one iXBRL formatted attachment on a
single submission.
o EX-100 Voluntary XBRL attachments will no longer be allowed for EDGAR
submissions.
o Edits to Section 6.13 of the “EDGAR Filer Manual, Volume II: EDGAR Filing”
will relax certain rendering requirements and related validations for submission
form types 485BPOS and 497 that are formatted with Inline XBRL. Filers will not
be required to reproduce the layout, ordering, and formatting of each Filing
Summary using custom linkbases and text blocks with “embedded” tables.
Validation errors that would otherwise be produced related to the display of
numbers in bar charts and other rendering-related requirements will be relaxed.
Submissions without Inline XBRL remain unaffected by these simplifications.
See Chapter 5 (Maintenance of Company Data), Chapter 6 (Interactive Data), and
Appendix E (Automated Conformance Rules for EDGAR Data Fields) of the "EDGAR
Filer Manual, Volume II: EDGAR Filing."
EDGAR Release 18.4 – Phase 2 will also implement a number of other changes that do not
impact the EDGAR Filer Manual, which are detailed in the Release Notes.
December 2018
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EDGAR Filer Manual (Volume II)
Table of Contents
1.
INTRODUCTION TO VOLUME II................................................................................ 1-1
2.
QUICK GUIDE TO EDGAR FILING ............................................................................ 2-1
3.
INDEX TO FORMS .......................................................................................................... 3-1
4.
FILING FEE INFORMATION ........................................................................................ 4-1
5.
CONSTRUCTING ATTACHED DOCUMENTS AND DOCUMENT TYPES .......... 5-1
1.1
1.1.1
2.1
2.1.1
2.1.2
2.1.3
2.2
2.3
2.3.1
2.3.2
2.3.3
2.3.4
2.3.5
2.4
3.1
3.2
4.1
4.2
4.3
4.4
4.5
4.5.1
4.5.2
4.5.3
4.6
4.6.1
4.6.2
4.6.3
4.7
4.7.1
4.7.2
4.8
5.1
5.1.1
5.1.2
Organization of this Manual ......................................................................................................... 1-1
Conventions Used in the Filer Manual ......................................................................................... 1-2
EDGAR Filing Process ................................................................................................................. 2-1
Using EDGARLink Online ........................................................................................................... 2-2
EDGAR OnlineForms Website..................................................................................................... 2-3
After a Submission is Filed ........................................................................................................... 2-3
Filing Checklist ............................................................................................................................. 2-3
General Information for Filers ...................................................................................................... 2-5
Hours of Operation ....................................................................................................................... 2-5
Introduction to Web Browsers ...................................................................................................... 2-5
Browser Differences ..................................................................................................................... 2-5
Accessing EDGAR ....................................................................................................................... 2-7
Getting Help with EDGAR ........................................................................................................... 2-7
EDGAR Gateway and Websites ................................................................................................... 2-8
Alpha/Numeric.............................................................................................................................. 3-2
Electronic Form Types by Act .................................................................................................... 3-32
Where to Pay Filing Fees .............................................................................................................. 4-1
How to Send Filing Fees to U.S. Bank ......................................................................................... 4-1
How to View Fee Account Information........................................................................................ 4-2
How to Request a Return of Unused Funds .................................................................................. 4-2
Filings that Require Filing Fees .................................................................................................... 4-3
1933 Act Filings by Corporations ................................................................................................. 4-3
1934 Act Filings............................................................................................................................ 4-4
1933 and 1940 Act Filings by Investment Companies ................................................................. 4-4
How to Calculate a Filing Fee ...................................................................................................... 4-4
1933 Act Filings............................................................................................................................ 4-4
1934 Act Filings............................................................................................................................ 4-5
1939 Act Filings............................................................................................................................ 4-5
Offsetting Fees .............................................................................................................................. 4-5
Offsetting Fees Example ............................................................................................................... 4-5
Example of Fee Calculation for 24F-2NT .................................................................................... 4-6
Common Problems ....................................................................................................................... 4-7
Introduction ................................................................................................................................... 5-1
File Naming Standards.................................................................................................................. 5-1
Statutory Signatures ...................................................................................................................... 5-1
EDGAR Filer Manual (Volume II)
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December2018
5.2
5.2.1
5.2.2
5.2.3
5.2.4
5.2.5
5.3
5.3.1
5.3.2
5.3.3
5.4
5.4.1
5.4.2
Document Formats ........................................................................................................................ 5-2
ASCII Documents ......................................................................................................................... 5-2
HTML ......................................................................................................................................... 5-12
PDF ............................................................................................................................................. 5-25
Reserved...................................................................................................................................... 5-27
Inline XBRL Documents ............................................................................................................ 5-27
Preparing or Referencing Module and Segment Documents ...................................................... 5-36
Module and Segment Naming .................................................................................................... 5-37
Types of Modules and Segments ................................................................................................ 5-37
Maintaining Modules and Segments ........................................................................................... 5-40
Document Types in EDGAR ...................................................................................................... 5-43
Non-Public and Confidential ...................................................................................................... 5-43
Exhibits ....................................................................................................................................... 5-44
6.
INTERACTIVE DATA ..................................................................................................... 6-1
6.1
6.2
6.3
6.3.1
6.3.2
6.3.3
6.3.4
6.3.5
6.3.6
6.3.7
6.3.8
6.3.9
6.3.10
6.3.11
6.4
6.4.1
6.4.2
6.4.3
6.5
6.5.1
6.5.2
6.5.3
6.5.4
6.5.5
6.5.6
6.5.7
6.5.8
6.5.9
6.5.10
6.5.11
XBRL Overview ........................................................................................................................... 6-2
Supported Versions of XBRL Standard Taxonomies ................................................................... 6-3
Submission Syntax ........................................................................................................................ 6-5
Use EDGARLink Online Submission Templates to attach XBRL Documents............................ 6-5
XBRL attachments to an EDGAR submission. ............................................................................ 6-5
XBRL document names. ............................................................................................................... 6-6
An XBRL document must not contain HTML character name references. .................................. 6-6
The ampersand character .............................................................................................................. 6-6
Restrictions on URI content .......................................................................................................... 6-7
XBRL document names are case sensitive. .................................................................................. 6-7
A submission must contain exactly one EX-101.INS or EX-99.SDR K.INS. .............................. 6-7
Filers must use one of the standard taxonomies. .......................................................................... 6-7
A submission must contain at least one company extension schema. .......................................... 6-7
Attribute xml:base must not appear in any Interactive Data document. ....................................... 6-7
Interactive Data Filing Syntax ...................................................................................................... 6-7
Reserved........................................................................................................................................ 6-8
EDGAR deletes all XBRL attachments from a submission if any contains a syntax error. ......... 6-8
The XBRL instance documents in a submission must be XBRL 2.1 valid. ................................. 6-8
Syntax of Instances ....................................................................................................................... 6-8
The scheme attribute of the xbrli:identifier element must be http://www.sec.gov/CIK. .............. 6-8
An xbrli:identifier element contains the CIK of the registrant, with one exception ..................... 6-8
All xbrli:identifier elements in an instance must have identical content. ..................................... 6-8
The xbrli:scenario element must not appear in any xbrli:context. ................................................ 6-8
Reserved........................................................................................................................................ 6-9
Reserved........................................................................................................................................ 6-9
An instance must not contain duplicate xbrli:context elements. ................................................... 6-9
Every xbrli:context element must appear in at least one contextRef attribute. ............................. 6-9
Pairs of contexts must not overlap by 24 hours or less. ................................................................ 6-9
Reserved...................................................................................................................................... 6-10
Element xbrli:xbrl must not have duplicate child xbrli:unit elements. ....................................... 6-10
December 2018
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EDGAR Filer Manual (Volume II)
6.5.12
6.5.13
6.5.14
6.5.15
6.5.16
6.5.17
6.5.18
6.5.19
6.5.20
6.5.21
6.5.22
6.5.23
6.5.24
6.5.25
6.5.26
6.5.27
6.5.28
6.5.29
6.5.30
6.5.31
6.5.32
6.5.33
6.5.34
6.5.35
6.5.36
6.5.37
6.5.38
6.5.39
6.5.40
6.5.41
6.5.42
6.5.43
6.5.44
6.6
6.6.1
6.6.2
6.6.3
6.6.4
6.6.5
6.6.6
6.6.7
6.6.8
6.6.9
6.6.10
Fact duplication........................................................................................................................... 6-10
Attribute xml:lang defaults to ‘en-US’. ...................................................................................... 6-10
Non-US English content may appear but it must be translated into US English. ....................... 6-11
Block text content containing a left angle bracket must be well formed XML. ......................... 6-11
Tag restrictions in 5.2.2 apply to block text XML content ......................................................... 6-12
The xbrli:xbrl element must not have any facts with the precision attribute. ............................. 6-12
Reserved...................................................................................................................................... 6-12
Required contexts........................................................................................................................ 6-12
The required contexts must contain all required document information facts. ........................... 6-13
The required contexts must contain all required entity information facts................................... 6-14
All other elements in the dei namespace are optional................................................................. 6-15
The Entity CIK in the required context....................................................................................... 6-15
The Registrant Name in the required context. ............................................................................ 6-15
Domain item type elements are not facts. ................................................................................... 6-15
Common Stock Shares Outstanding facts. .................................................................................. 6-15
A footnoteLink element must have no children other than loc, footnote, and footnoteArc........ 6-16
The role attribute of a footnote element must be defined in XBRL 2.1...................................... 6-16
The role attribute of a loc element must be empty, or defined in XBRL 2.1. ............................. 6-16
The arcrole of a footnoteArc element must be defined in XBRL 2.1 or a standard taxonomy. . 6-16
Reserved...................................................................................................................................... 6-16
A link:footnoteLink link:loc xlink:href attribute must start with the sharp sign “#”. ................. 6-16
Every nonempty link:footnote element must be linked to at least one fact. ............................... 6-16
Tag restrictions in 5.2.2 apply to footnote content. .................................................................... 6-16
Unit type registry restrictions apply. ........................................................................................... 6-17
The local name in xbrli:measure in UTF-8 must not exceed 200 bytes...................................... 6-17
The decimals attribute value must not cause non-zero digits to be interpreted as zero. ............. 6-17
Do not use element xbrli:forever in contexts. ............................................................................. 6-18
The dimension of xbrli:typedMember must be defined in a standard taxonomy........................ 6-18
Submission header element values and entity fact values should be consistent. ........................ 6-18
Each series ID in the header should be a member of LegalEntityAxis in a context. .................. 6-20
Instances should not use elements declared "deprecated" in any standard namespace............... 6-20
Numeric elements that should not have negative values. ........................................................... 6-20
Custom axis elements should not duplicate standard taxonomy axis elements. ......................... 6-21
Contents of Instance Data ........................................................................................................... 6-21
Fiscal year contexts for non-numeric facts. ................................................................................ 6-21
Fiscal year-to-date contexts for non-numeric facts. .................................................................... 6-21
Contexts for the primary registrant. ............................................................................................ 6-21
Consolidating entities and subsidiaries. ...................................................................................... 6-22
Consolidated entities. .................................................................................................................. 6-22
Contexts for subsidiaries in a consolidating instance. ................................................................ 6-24
Contexts for a consolidating instance. ........................................................................................ 6-24
Contexts for consolidating eliminations. .................................................................................... 6-24
Contexts for all classes of stock. ................................................................................................. 6-25
Contexts for a single class of stock. ............................................................................................ 6-25
EDGAR Filer Manual (Volume II)
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December2018
6.6.11
6.6.12
6.6.13
6.6.14
6.6.15
6.6.16
6.6.17
6.6.18
6.6.19
6.6.20
6.6.21
6.6.22
6.6.23
6.6.24
6.6.25
6.6.26
6.6.27
6.6.28
6.6.29
6.6.30
6.6.31
6.6.32
6.6.33
6.6.34
6.6.35
6.6.36
6.6.37
6.6.38
6.6.39
6.6.40
6.7
6.7.1
6.7.2
6.7.3
6.7.4
6.7.5
6.7.6
6.7.7
6.7.8
6.7.9
6.7.10
6.7.11
6.7.12
6.7.13
Contexts for different reporting assumptions.............................................................................. 6-25
Facts on the face of financial statements. ................................................................................... 6-25
Reserved...................................................................................................................................... 6-25
Facts for parenthetical disclosures on the face of financial statements. ..................................... 6-26
Nil facts. ...................................................................................................................................... 6-26
Financial statement notes and schedules..................................................................................... 6-27
No extra facts. ............................................................................................................................. 6-28
No page headers and footer facts. ............................................................................................... 6-28
Level 2 (Policy) Tagging ............................................................................................................ 6-28
Level 3 (Table) Tagging ............................................................................................................. 6-28
Reserved...................................................................................................................................... 6-28
Level 4 (Detail) Tagging ............................................................................................................. 6-28
Period types................................................................................................................................. 6-29
Alignment of numeric facts and element definitions .................................................................. 6-30
Numeric element definitions. ...................................................................................................... 6-30
Selecting elements based on definitions. .................................................................................... 6-30
Selecting elements based on data types. ..................................................................................... 6-30
Selecting elements based on authoritative references. ................................................................ 6-31
Precedence when selecting elements. ......................................................................................... 6-31
Selecting signs based on the balance attribute. ........................................................................... 6-31
The content of a numeric fact never has a scale factor. .............................................................. 6-31
Selecting the decimals attribute. ................................................................................................. 6-32
Do not insert digits that do not appear in the official HTML/ASCII document. ........................ 6-32
Do not define or use units that imply a scale factor on a currency. ............................................ 6-33
Each unit must appear with only one implicit power-of-ten scale factor per instance. .............. 6-33
The Date String item type. .......................................................................................................... 6-34
The Duration String item type. ................................................................................................... 6-34
Reserved...................................................................................................................................... 6-34
Page level footnotes of the face financials. ................................................................................. 6-34
Distinct page level footnote facts. ............................................................................................... 6-34
Syntax of Company Extension Schemas .................................................................................... 6-34
The xsd:schema must not have an xsd:include element.............................................................. 6-34
Standard taxonomy schema locations. ........................................................................................ 6-35
Custom taxonomy namespace authority parts. ........................................................................... 6-35
The targetNamespace attribute must match http://{authority}/{versionDate}. .......................... 6-35
Authority parts of custom taxonomy namespaces. ..................................................................... 6-35
Restrictions on custom taxonomy namespaces. .......................................................................... 6-35
Recommended custom schema namespace prefix. ..................................................................... 6-36
Element xsd:schema must not contain any occurrences of “embedded” linkbases. ................... 6-36
Restrictions on the roleURI attribute. ......................................................................................... 6-36
Unique roleURI attribute values. ................................................................................................ 6-36
Restrictions on the roleType usedOn element. ........................................................................... 6-36
Content of the roleType definition element. ............................................................................... 6-37
Restrictions on the arcroleURI attribute. .................................................................................... 6-39
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EDGAR Filer Manual (Volume II)
6.7.14
6.7.15
6.7.16
6.7.17
6.7.18
6.7.19
6.7.20
6.7.21
6.7.22
6.7.23
6.7.24
6.7.25
6.7.26
6.7.27
6.7.28
6.7.29
6.7.30
6.7.31
6.7.32
6.8
6.8.1
6.8.2
6.8.3
6.8.4
6.8.5
6.8.6
6.8.7
6.8.8
6.8.9
6.8.10
6.8.11
6.8.12
6.8.13
6.8.14
6.8.15
6.8.16
6.8.17
6.8.18
6.8.19
6.8.20
6.8.21
6.8.22
6.8.23
6.9
Unique arcroleURI attribute values. ........................................................................................... 6-39
A link:arcroleType element must have a nonempty link:definition............................................ 6-39
Unique element names. ............................................................................................................... 6-39
Restrictions on the element id attribute....................................................................................... 6-39
The nillable attribute value of an xsd:element must equal ‘true’. ............................................... 6-39
No tuple type elements................................................................................................................ 6-39
An xsd:element must not have an xbrldt:typedDomainRef attribute. ......................................... 6-40
Restrictions on abstract elements. ............................................................................................... 6-40
Reserved...................................................................................................................................... 6-40
Restriction on dimension item element names. .......................................................................... 6-40
Restriction on hypercube item element names. .......................................................................... 6-40
Restriction on substitutionGroup attribute. ................................................................................. 6-40
If an element name ends with ‘LineItems’ then the abstract attribute must be ‘true’. ................ 6-40
Restriction on domain item type element names. ....................................................................... 6-40
Restriction on domain item type periodType attribute. .............................................................. 6-40
Restriction on element name length............................................................................................ 6-40
Restriction on URI length. .......................................................................................................... 6-40
The xsd:element type must not be equal to or derived from xbrli:fractionItemType. ................ 6-41
Declarations requiring period type 'duration'. ............................................................................. 6-41
Content of Schemas .................................................................................................................... 6-41
Changes in declarations from period to period. .......................................................................... 6-41
Reserved...................................................................................................................................... 6-41
No duplicative custom role and arc role type declarations. ........................................................ 6-41
No duplicative custom element declarations. ............................................................................. 6-42
Reserved...................................................................................................................................... 6-42
Use company- and period-specific names only for domain members. ....................................... 6-42
Reserved...................................................................................................................................... 6-42
Custom abstract elements. .......................................................................................................... 6-42
Custom monetary elements. ........................................................................................................ 6-42
Do not declare different elements for different values of the same underlying line item. .......... 6-43
Custom elements requiring a balance attribute. .......................................................................... 6-43
Custom monetary elements requiring period type 'instant'. ........................................................ 6-44
Custom monetary elements requiring period type 'duration'. ..................................................... 6-44
Custom percent item type elements. ........................................................................................... 6-44
Custom pure item type elements. ................................................................................................ 6-44
Custom date item type elements. ................................................................................................ 6-44
Custom string item type elements. .............................................................................................. 6-45
Custom domain item type elements. ........................................................................................... 6-46
Do not declare 'total' domain member elements. ........................................................................ 6-46
Custom axis elements. ................................................................................................................ 6-46
Custom table elements. ............................................................................................................... 6-47
Reserved...................................................................................................................................... 6-47
Custom text block item type elements. ....................................................................................... 6-47
Syntax of all Linkbases ............................................................................................................... 6-47
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6.9.1
6.9.2
6.9.3
6.9.4
6.9.5
6.9.6
6.9.7
6.9.8
6.9.9
6.10
6.10.1
6.10.2
6.10.3
6.10.4
6.10.5
6.10.6
6.10.7
6.10.8
6.10.9
6.11
6.11.1
6.11.2
6.11.3
6.11.4
6.11.5
6.11.6
6.11.7
6.11.8
6.11.9
6.12
6.12.1
6.12.2
6.12.3
6.12.4
6.12.5
6.12.6
6.12.7
6.12.8
6.12.9
6.13
6.13.1
6.13.2
6.13.3
6.13.4
A link:linkbase must be XML Linking Language (XLink) 1.0 valid. ........................................ 6-47
Effective relationships. ............................................................................................................... 6-48
A link:linkbase in a submission must have no ineffectual relationships..................................... 6-48
Extended link role attributes. ...................................................................................................... 6-48
Restrictions on resource role attributes. ...................................................................................... 6-48
Restrictions on arcroleRef attributes. .......................................................................................... 6-48
All extended link elements in a linkbase must have the same namespace and local name......... 6-49
Duplicate relationships, defined.................................................................................................. 6-49
The value of the priority attribute must be strictly less than 10. ................................................. 6-49
Syntax of Label Linkbases .......................................................................................................... 6-49
Elements requiring English standard labels. ............................................................................... 6-49
Role and language attributes of a label define a label not to be duplicated. ............................... 6-49
US English labels are required. ................................................................................................... 6-50
Standard labels are unique. ......................................................................................................... 6-50
A label linkbase must not have a definition for an element defined in a standard taxonomy. .... 6-50
Restrictions on label lengths. ...................................................................................................... 6-50
Reserved...................................................................................................................................... 6-50
The text of link:label must not have leading or trailing XML whitespace. ................................ 6-50
Do not use numeric label roles on non-numeric elements. ......................................................... 6-51
Content of Label Linkbases ........................................................................................................ 6-51
Line item element labels. ............................................................................................................ 6-51
Parenthetical item element labels................................................................................................ 6-52
When a numeric element label requires a unit designation......................................................... 6-52
Labels for numeric totals. ........................................................................................................... 6-53
Monetary elements without a balance attribute. ......................................................................... 6-53
Monetary element negating labels. ............................................................................................. 6-53
Numeric element period start and end labels. ............................................................................. 6-54
Terse and verbose labels. ............................................................................................................ 6-54
A label linkbase of a standard taxonomy should not be included in the DTS of an instance. .... 6-55
Syntax of Presentation Linkbases ............................................................................................... 6-55
The link:presentationArc element requires an order attribute..................................................... 6-55
Presentation child order restrictions............................................................................................ 6-55
Every element in an instance must be presented......................................................................... 6-55
Reserved...................................................................................................................................... 6-55
When distinct preferredLabel attribute values are required. ....................................................... 6-55
Each effective presentation relationship base set should have only one root element............... 6-56
Do not use preferredLabel roles for instant elements on duration elements. .............................. 6-56
Each axis element should be the parent of some domain element. ............................................. 6-56
Presentation relationships for units. ............................................................................................ 6-56
Content of Presentation Linkbases.............................................................................................. 6-56
Reserved...................................................................................................................................... 6-56
Present facts according to their locations in the original HTML/ASCII document. ................... 6-56
Order and indent facts according to their positions in the original HTML/ASCII document. ... 6-57
Presentation groups for parenthetical facts. ................................................................................ 6-57
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6.14
6.14.1
6.14.2
6.14.3
6.14.4
6.14.5
6.15
6.15.1
6.15.2
6.15.3
6.15.4
6.16
6.16.1
6.16.2
6.16.3
6.16.4
6.16.5
6.16.6
6.16.7
6.16.8
6.16.9
6.17
6.17.1
6.18
6.18.1
6.18.2
6.19
6.19.1
6.20
6.21
6.22
6.23
6.24
6.24.1
6.24.2
6.24.3
6.24.4
6.24.5
6.24.6
6.24.7
6.24.8
6.24.9
6.24.10
6.24.11
Syntax of Calculation Linkbases ................................................................................................ 6-57
Element link:calculationArc requires an order attribute. ............................................................ 6-58
Element link:calculationArc requires a weight attribute value equal to 1 or -1. ......................... 6-58
The source and target of a calculation relationship must have the same period type. ................ 6-58
No directed cycles in calculation relationships. .......................................................................... 6-58
Facts in a calculation must appear together in at least one presentation group. ......................... 6-58
Content of Calculation Linkbases ............................................................................................... 6-58
Reserved...................................................................................................................................... 6-58
When calculation relationships are required. .............................................................................. 6-58
Alternate calculations for a single fact........................................................................................ 6-59
Each element source and target pair should only appear in one calculation relationship. .......... 6-59
Syntax of Definition Linkbases .................................................................................................. 6-60
Element link:definitionArc requires an order attribute. .............................................................. 6-60
Reserved...................................................................................................................................... 6-60
Definition relationships requiring a domainItemType target. ..................................................... 6-60
Restrictions on cycles in definition relationships. ...................................................................... 6-60
Restriction on dimension element relationships. ........................................................................ 6-61
Restriction on the "closed" attribute. .......................................................................................... 6-61
Restriction on negative tables and axes. ..................................................................................... 6-61
The target of an effective relationship with an xlink:arcrole attribute equal to .......................... 6-61
Restriction on target roles. .......................................................................................................... 6-61
Content of Definition Linkbases ................................................................................................. 6-61
Reserved...................................................................................................................................... 6-61
Syntax of Reference Linkbases ................................................................................................... 6-61
An element that has a company specific namespace must not have a reference. ....................... 6-62
Standard elements must have no additional reference elements. ................................................ 6-62
Content of Reference Linkbases ................................................................................................. 6-62
A reference linkbase of a standard taxonomy should not be in the DTS of an instance. ............ 6-62
EDGAR Module Processing with XBRL Taxonomy Extensions............................................... 6-62
Segment Functionality Not Supported for XBRL Documents ................................................... 6-63
Supported Versions of XBRL Standard Taxonomies ................................................................. 6-63
Reserved...................................................................................................................................... 6-63
Rendering Interactive Data ......................................................................................................... 6-63
Presentation Groups .................................................................................................................... 6-63
Context Selection ........................................................................................................................ 6-64
Unit Selection ............................................................................................................................. 6-64
The Primary Axis ........................................................................................................................ 6-64
Fact Selection .............................................................................................................................. 6-64
Layout as Columns and Rows..................................................................................................... 6-64
Member Ordering........................................................................................................................ 6-66
Merged Columns......................................................................................................................... 6-66
Period Start labels ....................................................................................................................... 6-67
Column Headings and Promotion........................................................................................... 6-68
Row Headings and Promotion ................................................................................................ 6-68
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6.24.12
6.24.13
6.24.14
6.24.15
6.24.16
6.24.17
6.24.18
6.24.19
6.24.20
6.24.21
6.24.22
6.25
6.25.1
6.25.2
6.26
6.26.1
6.26.2
6.26.3
6.26.4
6.26.5
6.26.6
6.26.7
6.26.8
6.26.9
7.
7.1
7.1.1
7.1.2
7.2
7.2.1
7.2.2
7.3
7.3.1
7.3.2
7.3.3
7.3.4
7.3.5
7.3.6
7.3.7
7.3.8
7.3.9
7.3.10
7.3.11
7.3.12
Footnotes and Merging ........................................................................................................... 6-68
Flow Through Suppression on Statements ............................................................................. 6-69
Cash Flow Statements ............................................................................................................ 6-69
Statements of Changes in Shareholder Equity........................................................................ 6-69
Layout Qualifiers .................................................................................................................... 6-70
Uncategorized Facts ............................................................................................................... 6-70
Numeric Formatting ............................................................................................................... 6-70
Non-numeric Formatting ........................................................................................................ 6-71
The Filing Summary ............................................................................................................... 6-72
Multiple Instances .................................................................................................................. 6-72
Workbook Output ................................................................................................................... 6-73
Rendering of Mutual Fund Risk/Return Summary Interactive Data .......................................... 6-73
Embedding Commands ............................................................................................................... 6-73
Bar Charts ................................................................................................................................... 6-74
Syntax related to rendering ......................................................................................................... 6-74
Each axis that is presented requires at least one child element. .................................................. 6-74
Period start and end preferred labels should be separated by duration elements. ....................... 6-75
Changes in Equity presentation requires both instant and duration type facts............................ 6-75
Text blocks containing embedding commands. .......................................................................... 6-75
Restrictions on rows and columns of embedding commands. .................................................... 6-76
Completeness of axes in an embedding command. .................................................................... 6-76
A Bar Chart should select at least one Annual Return fact. ........................................................ 6-76
A Bar Chart must select no more than twenty Annual Return facts. .......................................... 6-76
The {Elements} token implies "column primary" embedding. .................................................. 6-76
PREPARING AND TRANSMITTING EDGARLINK ONLINE SUBMISSIONS .... 7-1
Introduction ................................................................................................................................... 7-1
Using the EDGAR Filing Website ................................................................................................ 7-2
Information on Headers ................................................................................................................ 7-8
Creating an EDGARLink Online Submission .............................................................................. 7-8
Accessing the EDGARLink Online Submission .......................................................................... 7-8
Viewing the Fee Rate .................................................................................................................. 7-11
Preparing Your EDGARLink Online Submission ...................................................................... 7-12
Submission .................................................................................................................................. 7-12
EDGARLink Online Submission Preparation Map .................................................................... 7-15
The EDGARLink Online Main Page .......................................................................................... 7-18
The EDGARLink Online Attached Documents List Page .......................................................... 7-38
The EDGARLink Online Notification Information Page ........................................................... 7-46
The EDGARLink Online Module/Segment Page ....................................................................... 7-48
The EDGARLink Online Series/Classes (Contracts) Information Page..................................... 7-51
The EDGARLink Online Fee Offset Information Page.............................................................. 7-61
The EDGARLink Online Offerings & Fees Page ....................................................................... 7-62
Combining Form Types in a Single Submission ........................................................................ 7-68
Module and Segment Submissions ............................................................................................. 7-74
Correspondence Submissions and Documents ........................................................................... 7-76
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7.3.13
7.3.14
7.3.15
7.4
7.4.1
7.4.2
7.4.3
7.4.4
7.4.5
7.4.6
7.5
7.6
7.6.1
7.6.2
7.6.3
7.6.4
7.7
7.7.1
7.7.2
7.8
7.8.1
7.9
N-SAR Documents ..................................................................................................................... 7-76
Bulk Filing .................................................................................................................................. 7-77
CERT Submissions ..................................................................................................................... 7-78
Validating Your Submission ....................................................................................................... 7-78
Field Validation .......................................................................................................................... 7-79
Document Validation .................................................................................................................. 7-79
Submission Validation ................................................................................................................ 7-81
Editing Your Submission ............................................................................................................ 7-82
Submission Errors ....................................................................................................................... 7-83
Document Errors ......................................................................................................................... 7-83
Saving Your Submission............................................................................................................. 7-83
Transmissions to EDGAR........................................................................................................... 7-83
Transmitting Single Submissions ............................................................................................... 7-83
Transmitting Modules and Segments.......................................................................................... 7-84
Transmitting Bulk Filings ........................................................................................................... 7-84
Test Submissions ........................................................................................................................ 7-85
Disseminating Draft Submissions ............................................................................................... 7-85
Disseminating Draft Registration Statements ............................................................................. 7-85
Disseminating Draft Offering Statements ................................................................................... 7-86
EDGAR Filing Website Help ..................................................................................................... 7-87
EDGARLink Online Help........................................................................................................... 7-87
Common Problems ..................................................................................................................... 7-88
8.
PREPARING AND TRANSMITTING ONLINE SUBMISSIONS .............................. 8-1
8.1
8.1.1
8.1.2
8.1.3
8.1.4
8.1.5
8.1.6
8.1.7
8.1.8
8.2
8.2.1
8.2.2
8.2.3
8.2.4
8.2.5
8.2.6
8.2.7
8.2.8
8.2.9
8.2.10
8.2.11
EDGAR OnlineForms Website – Online Filing Preparation ........................................................ 8-1
OnlineForms Data Gathering Model............................................................................................. 8-2
Navigating EDGAR – Logging into EDGAR OnlineForms Website .......................................... 8-3
EDGAR OnlineForms Menu Options ........................................................................................... 8-5
Creating an Online Section 16 Ownership Submission ................................................................ 8-8
File Form D Submission ............................................................................................................. 8-27
Basic Information for Form D Submission ................................................................................. 8-27
Completing an Online Form D Submission ................................................................................ 8-31
Common Ownership Problems ................................................................................................... 8-52
EDGAR Filing Website .............................................................................................................. 8-53
Navigating EDGAR – Logging into EDGAR Filing Website .................................................... 8-53
General Information on Online Forms ........................................................................................ 8-55
File Regulation A Forms ............................................................................................................. 8-57
Completing a Regulation A Submission ..................................................................................... 8-59
File Form C ................................................................................................................................. 8-98
Completing a Form C Submission ............................................................................................ 8-100
File Form Funding Portal .......................................................................................................... 8-118
Completing a Form Funding Portal Submission ....................................................................... 8-119
File Form 13H Submission ....................................................................................................... 8-137
Completing a Form 13H Submission ........................................................................................ 8-138
File Form 13F ........................................................................................................................... 8-152
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8.2.12
8.2.13
8.2.14
8.2.15
8.2.16
8.2.17
8.2.18
8.2.19
8.2.20
8.2.21
8.2.22
8.2.23
8.2.24
8.2.25
8.2.26
8.2.27
8.2.28
Completing a Form 13F Submission ........................................................................................ 8-152
File Municipal Advisor Forms .................................................................................................. 8-162
Completing a Municipal Advisor Form Submission ................................................................ 8-162
File Form SDR .......................................................................................................................... 8-202
Completing a Form SDR Submission ....................................................................................... 8-204
File SBS Entity Forms .............................................................................................................. 8-220
Completing an SBS Entity Submission .................................................................................... 8-220
File Form X-17A-5 Part III ....................................................................................................... 8-250
Completing a Form X-17A-5 Part III Submission .................................................................... 8-250
File Form 17-H ......................................................................................................................... 8-259
Completing a Form 17-H Submission ...................................................................................... 8-259
Transfer Agent Forms ............................................................................................................... 8-270
Completing a Tranfer Agent Form ........................................................................................... 8-273
Form N-CEN............................................................................................................................. 8-298
Completing a Form N-CEN ...................................................................................................... 8-303
Form ATS-N ............................................................................................................................. 8-355
Completing Form ATS-N ......................................................................................................... 8-359
9.
FILER-CONSTRUCTED XML SUBMISSIONS........................................................... 9-1
10.
DETERMINING THE STATUS OF YOUR FILING ............................................. 10-1
9.1
9.2
9.2.1
9.2.2
9.2.3
10.1
10.2
10.2.1
10.2.2
10.3
10.4
10.5
10.5.1
10.5.2
10.5.3
10.5.4
10.6
Filer-Constructed XML Technical Specifications ........................................................................ 9-1
Transmitting XML Submissions ................................................................................................... 9-2
Transmit XML as a Test Submission............................................................................................ 9-2
Transmit XML as a Live Submission ........................................................................................... 9-3
Transmission Status ...................................................................................................................... 9-5
Filing Date of Electronically Transmitted Submissions ............................................................. 10-1
Receiving E-Mail Status of Filings from the SEC ...................................................................... 10-1
How EDGAR Uses the Internet for E-Mail ................................................................................ 10-1
How Mail Is Addressed to the Internet Address ......................................................................... 10-2
Accessing Submission Information ............................................................................................ 10-2
Return Copy Support .................................................................................................................. 10-3
Submission Information .............................................................................................................. 10-3
Retrieving Submission Notification ............................................................................................ 10-4
Retrieve Module/Segment Information ...................................................................................... 10-6
Module Information .................................................................................................................... 10-6
Segment Information .................................................................................................................. 10-9
Getting Help with the Content of Filings or Exemptions/Adjustments .................................... 10-10
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
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APPENDIX E. AUTOMATED CONFORMANCE RULES FOR EDGAR DATA FIELDS
..................................................................................................................................................... E-1
APPENDIX F. GLOSSARY OF COMMONLY USED TERMS, ACRONYMS AND
ABBREVIATIONS ....................................................................................................................F-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. EDGAR will disseminate that
information and you may view electronically submitted filings through commercial
dissemination services by using the SEC’s Public Website
(https://www.sec.gov/edgar/searchedgar/companysearch.html). Filings are also available for
Web site viewing and printing in the Commission's Public Reference Room, 100 F Street NE,
Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m.
Do you need to file through EDGAR?
Whether or not you need to submit filings on EDGAR will depend on the form type(s) you are
required to submit. For those requirements, refer to Regulation S-T, Rule 101 [Mandated
Electronic Submissions and Exceptions].
Rules Governing Forms and Filing Information
EDGAR provides you with an electronic way to submit information to us. It does not change
the content of what you submit. Regulation S-T mandates electronic submissions of filings by
all domestic and foreign registrants. Regulation S-T also provides the general requirements and
procedures for electronic filing. You can find Regulation S-T in the Code of Federal Regulations
(17 CFR Part 232). You will also find Regulation S-T under the Division of Corporation Finance
area on the SEC’s Public Website (https://www.sec.gov/divisions/corpfin/ecfrlinks.shtml).
Regulation S-T is also available for Web site viewing and printing in the Commission's Public
Reference Room, 100 F Street NE, Washington, DC 20549, on official business days between
the hours of 10:00 a.m. and 3:00 p.m.
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.)
December 2018
xv
EDGAR Filer Manual (Volume II)
Releases
Release No. and Details
Title
33-10534
Issued: 08/17/2018
Effective: 11/05/2018
(83 FR 50148)
Disclosure Update and Simplification
34-83663
Issued: 07/18/2018
Effective: 10/09/2018
(83 FR 38768)
Regulation of NMS Stock Alternative Trading Systems
33-10514
Issued: 06/28/2018
Effective: 09/17/2018
(83 FR 40846)
Inline XBRL Filing of Tagged Data
33-10486
Issued: 04/25/2018
Effective: 05/14/2018
Amendments to Forms and Schedules to Remove Provision of
Certain Personally Identifiable Information
33-10332
Issued: 03/31/2017
Effective: 04/12/2017
Inflation Adjustments and Other Technical Amendments under
Titles I and III of the JOBS Act (Technical Amendments;
Interpretation)
33-10322
Issued: 03/01/2017
Effective: 09/01/2017
(82 FR 14130)
Exhibit Hyperlinks and HTML Format
33-10238
Issued: 10/26/2016
Effective: 05/22/2017
(81 FR 83494)
Exemptions to Facilitate Intrastate and Regional Securities
Offerings
33-10233
Issued: 10/13/2016
Effective: 01/17/2017
Compliance: see section III.M.
of Release
(81 FR 82142)
Investment Company Liquidity Risk Management Programs
EDGAR Filer Manual (Volume II)
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December 2018
Release No. and Details
Title
IC-31828
Issued: 09/16/2015
Effective: 10/26/2015
Compliance: 10/14/2016
(80 FR 58123)
Removal of Certain References to Credit Ratings and
Amendment to the Issuer Diversification Requirement in the
Money Market Fund Rule
34-75611
Issued: 8/5/2015
Effective: 10/13/2015
(80 FR 48963)
Registration Process for Security-Based Swap Dealers and
Major Security-Based Swap Participants
33-9974
Issued: 10/30/2015
Effective: 01/29/2016
Effective: 05/16/2016
(80 FR 71387)
Crowdfunding
33-9638A
Issued: 11/10/2014
Effective: 11/24/2014
(79 FR 66607)
Asset-Backed Securities Disclosure and Registration
(Correction)
33-9616
Issued: 07/23/2014
Effective: 10/14/2014
Compliance: see section III.N.
of Release
(79 FR 47736)
Money Market Fund Reform; Amendments to Form PF
34-72936
Issued: 08/27/2014
Effective: 11/14/2014
(79 FR 55077)
Nationally Recognized Statistical Rating Organizations
33-9741
Issued: 03/25/2015
Effective: 06/19/2015
(80 FR 21805)
Amendments to Regulation A
34-74246
Issued: 02/11/2015
Effective: 05/18/2015
Compliance: 03/18/2016
(80 FR 14437)
Security-Based Swap Data Repository Registration, Duties,
and Core Principles
December 2018
Form Funding Portal
Final Rules and Forms
xvii
EDGAR Filer Manual (Volume II)
Release No. and Details
Title
33-9638
Issued: 09/04/2014
Effective: 11/24/2014
(79 FR 57183)
Asset-Backed Securities Disclosure and Registration
34-70462
Issued: 09/20/2013
Effective: 01/13/2014
Compliance: 07/01/2014
(78 FR 67467)
Registration of Municipal Advisors
33-9415
Issued: 07/10/2013
Effective: 09/23/2013
(78 FR 44771)
Eliminating the Prohibition Against General Solicitation and
General Advertising in Rule 506 and Rule 144A Offerings
33-9414
Issued: 07/10/2013
Effective: 09/23/2013
(78 FR 44729)
Disqualification of Felons and Other “Bad Actors” from Rule
506 Offerings
34-67716
Issued: 08/22/2012
Effective: 11/13/2012
(77 FR 56274)
Conflict Minerals
33-9287
Issued: 11/21/2011
Effective: 02/27/2012
(76 FR 81793)
Net Worth Standard for Accredited Investors
33-9273
Issued: 11/04/2011
Effective: 11/21/2011
(76 FR 71872)
Rescission of Outdated Rules and Forms, and Amendments to
Correct References
34-64976
Issued: 07/27/2011
Effective: 10/03/2011
(76 FR 46960)
Large Trader Reporting
33-9286
Issued: 12/21/2011
Effective: 01/27/2012
(76 FR 81762)
Mine Safety Disclosure
EDGAR Filer Manual (Volume II)
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December 2018
Release No. and Details
Title
33-9175A
Issued: 08/25/2011
Effective: 09/01/2011
(76 FR 54374)
Disclosure for Asset-Backed Securities Required by Section
943 of the Dodd-Frank Wall Street Reform and Consumer
Protection Act (Correction)
33-9245
Issued: 07/27/2011
Effective: 09/02/2011
(76 FR 46603)
Security Ratings
33-9175
Issued: 01/20/2011
Effective: 03/28/2011
(76 FR 4489)
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: 12/16/2009
Effective: 02/28/2010
(74 FR 68334)
Proxy Disclosure Enhancements
33-9006A
Issued: 05/01/2009
Effective: 07/15/2009
(74 FR 21255)
Interactive Data For Mutual Fund Risk/Return Summary
(Correction)
33-9002A
Issued: 04/01/2009
Effective 04/13/2009
(74 FR 15666)
Interactive Data to Improve Financial Reporting (Correction)
December 2018
xix
EDGAR Filer Manual (Volume II)
Release No. and Details
Title
33-9002
Issued: 01/30/2009
Effective: 04/13/2009
(74 FR 6776)
Interactive Data to Improve Financial Reporting (adopting
release)
33-9006
Issued: 02/11/2009
Effective: 07/15/2009
(74 FR 7748)
Interactive Data For Mutual Fund Risk/Return Summary
33-8998
Issued: 01/13/2009
Effective: 03/31/2009
(74 FR 4546)
Enhanced Disclosure and New Prospectus Delivery Option for
Registered Open-End Management Investment Companies
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: 02/06/2008
Effective: 09/15/2008
(73 FR 10592)
Electronic Filing and Revision of Form D
33-8876
Issued: 12/19/2007
Effective: 02/04/2008
(73 FR 934)
Smaller Reporting Company Regulatory Relief and
Simplification
33-8919
Issued: 10/29/2008
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: 07/11/2007
Effective: 08/20/2007
(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: 03/27/2007
Effective: 06/04/2007
(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
EDGAR Filer Manual (Volume II)
(see effective date section of release for exceptions)
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December 2018
Release No. and Details
Title
34-54356
Issued: 12/04/2006
Effective: 01/11/2007
(71 FR 74698)
Electronic Filing of Transfer Agent Forms
33-8644
Issued: 12/21/2005
Effective: 12/27/2005
(70 FR 76626)
Revisions to Accelerated Filer Definition and Accelerated
Deadlines for Filing Periodic Reports
33-8591
Issued: 7/19/2005
Effective: 12/1/2005
(70 FR 44722)
Securities Offering Reform
33-8590
Issued: 07/18/2005
Effective: 09/19/2005
Effective: 02/06/2006
Effective: 6/12/2006
(70 FR 43558)
Rulemaking for EDGAR System
Technical amendments to Reg S-T Series and class
requirements
Additional mandatory electronic filings for investment
companies
33-8587
Issued: 7/15/2005
Effective: 8/22/2005
(70 FR 42234)
Use of Form S-8, Form 8-K, and Form 20-F by Shell
Companies
34-52029
Issued: 7/14/2005
Effective: 8/22/2005
Compliance: 4/24/2006
(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: 02/03/2005
Effective: 03/16/2005
(70 FR 6556)
XBRL Voluntary Financial Reporting Program on the EDGAR
System
33-8518
Issued: 12/22/2004
Effective: 3/08/2005
(70 FR 1506)
Asset-Backed Securities
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EDGAR Filer Manual (Volume II)
Release No. and Details
Title
34-50486
Issued: 10/04/2004
Effective: 11/08/2004
(69 FR 60287)
Proposed Rule Changes of Self-Regulatory Organizations
33-8400A
Issued: 8/04/2004
Effective: 8/23/2004
(69 FR 48370)
Additional Form 8-K Disclosure Requirements and
Acceleration of Filing Date; Correction
33-8410
Issued: 4/21/2004
Effective: 4/26/2004
(69 FR 22704)
Mandated Electronic Filing for Form ID
33-8170
34-47069
35-27627
Issued: 12/27/2002
Mandated Electronic Filing and Website Posting for Forms 3,
4, and 5
33-8009
Issued: 5/14/2002
Effective: 5/24/2002
and 11/4/2002
(67 FR 36677)
Mandated EDGAR Filing for Foreign Issuers
33-8007
Issued: 9/17/2001
(66 FR 49829)
Updated version of the EDGARLink software
33-7999
Issued: 7/30/2001
(66 FR 42941)
Next stage of EDGAR Modernization
33-7933
Issued: 1/16/2001
Effective: 2/02/2001
(66 FR 8764)
Next stage of EDGAR Modernization
33-7855
Issued: 4/24/2000
Effective: 5/30/2000
Effective: 7/10/2000
Effective: 1/1/2001
(65 FR 24788)
Rules for the next stage of EDGAR Modernization
EDGAR Filer Manual (Volume II)
Diskette submissions not accepted
Financial Data Schedule requirement removed
xxii
December 2018
Release No. and Details
Title
33-7789
Issued: 1/20/2000
Effective: 1/24/2000
(65 FR 3123)
Adopted updated filing form types in Filer Manual
33-7755
Issued: 10/07/1999
Effective: 10/16/1999
(64 FR 56430)
CompuServe discontinued electronic mail service
33-7684
Issued: 5/17/1999
Effective: 6/28/1999
(64 FR 27888)
Rules for the first stage of EDGAR modernization adopted
34-40934
Issued: 1/12/1999
Compliance date: 4/1/1999
(64 FR 2834)
Electronic filing of Form 13F made mandatory
33-7472
Issued: 10/24/1997
Effective: 1/1/1998
(62 FR 58647)
Commission will no longer accept, in paper, filings required to
be submitted electronically, except in a hardship situation
33-7427
Issued: 7/1/1997
(62 FR 36450)
Minor and technical rule amendments, including the
elimination of transition rules applicable to the phase-in period
33-7122
Issued: 12/19/1994
(59 FR 67752)
Rules and phase-in schedule made final. Final phase-in lists
published. Minor rule amendments adopted
33-6977
Issued: 2/23/1993
(58 FR 14628)
Interim rules applicable to electronic filing in general, and
specifically to the Division of Corporation Finance filers
IC-19284
Issued: 2/23/1993
(58 FR 14848)
Interim rules specific to investment companies
35-25746
Issued: 2/23/1993
(58 FR 14999)
Interim rules specific to public utility holding companies
December 2018
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EDGAR Filer Manual (Volume II)
Release No. and Details
Title
33-6980
Issued: 2/23/1993
(58 FR 15009)
Rules relating to payment of filing fees to the SEC’s lockbox
in Pittsburgh, Pennsylvania
EDGAR Filer Manual (Volume II)
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1.
INTRODUCTION TO VOLUME II
1.1
Organization of this Manual
This volume is divided into chapters and appendices. The paragraphs and subparagraphs are
numbered for easy reference (e.g., 1.2, 5.6.1).
The chapters of this volume primarily refer to the preparation of EDGAR submissions. When we
reference EDGARLink Online, we are referencing the online application used to assemble
EDGAR submissions online through EDGAR Filing Website.
The following outline shows you where to find information in this volume. An index is also
provided at the end of this document.
CHAPTER 1 – Introduction
CHAPTER 2 – Quick Guide to EDGAR Filing
CHAPTER 3 – Index to Forms
CHAPTER 4 – Filing Fee Information
CHAPTER 5 – Constructing Attached Documents and Document Types
CHAPTER 6 – Interactive Data
CHAPTER 7 – Preparing and Transmitting EDGARLink Online Submissions
CHAPTER 8 – Preparing and Transmitting Online Submissions
CHAPTER 9 – Filer-Constructed XML Submissions
CHAPTER 10 – 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
Form for Submission of Paper Format Exhibits by Electronic Filers
Form TH
Notification of Reliance on Temporary Hardship Exemption
E
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.
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EDGAR Filer Manual (Volume II)
F
Glossary of Commonly Used Terms, Acronyms, and Abbreviations
This glossary contains terms, acronyms, and abbreviations used in the Filer Manual.
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:
o Press [Enter]
o Click [Module/Segment]
•
Titles of check, dialog, and list boxes, fields, functions, options, processes, queries,
reports, pages, tables, and windows appear in title case:
o Submission Type list box
o Name field
o Company Information query
o Return Copy check box
•
Menus, menu options, radio buttons, and statuses appear in title case and have double
quotation marks around them:
o “Test Filing” radio button
o From the “Edit” menu, select “Copy”
o “Busy” status
•
Directories and file names appear in bold text:
o The C:\temp directory
o r10q-630.txt (the file saved in ASCII)
•
Keystroke combinations appear between less-than and greater-than brackets and in upper
case:
o <ALT-TAB>
o <CTRL-C>
•
Internet Hyperlinks appear underlined and italicized:
o https://www.portal.edgarfiling.sec.gov
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2.
2.1
QUICK GUIDE TO EDGAR FILING
EDGAR Filing Process
This section is designed for the novice filer to explain the filing process and some of the terms
that we will use throughout this manual. If you are familiar with EDGAR, then proceed to the
index to find your submission type.
A filer must use the EDGAR system when they have a filing obligation that requires an
electronic form. They can also choose to use an electronic form for certain form types that may
also be prepared in paper format. Increasingly, fewer forms are permitted via paper filing. All
rules regarding which forms must be submitted electronically are found in Regulation S-T,
General Rules and Regulations for Electronic Filings. A copy of this rule is available on the
SEC’s Public Website at https://www.sec.gov/divisions/corpfin/ecfrlinks.shtml.
The EDGAR system is comprised of a number of large computers that receive filings submitted
by entities. An entity is one that files with the SEC. Entities may be unique companies that make
Securities Act filings or individuals who make filings like Form 3 or 4. There are thousands of
filings submitted to the EDGAR system each day. The system processes the filings according to
rules defined by the SEC. Finally, if the documents are public, it transmits them to parties
outside the SEC. Since there is a single internal SEC system processing these filings, filers must
follow certain rules in preparing their filings so that they can be processed correctly.
Once you know the Code of Federal Regulations (CFR) Form Type/Schedule/Rule that you must
submit electronically as determined by the SEC Rules, you must determine the electronic
submission type. On the EDGAR system, the submission is the envelope for all of the content
you are sending in a single transmission. The submission type may tell the SEC and others
viewing the filing something about the filing itself. For example, a Form 15 can have submission
types of 15-12B, 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.
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EDGAR Filer Manual (Volume II)
All primary and secondary documents must be in certain standard electronic formats to be
accepted by the EDGAR system. The EDGAR system accepts ASCII, HTML, XML and, in
some cases, XBRL or PDF primary documents. If you include graphics in your HTML
document, then you must also include the .jpg and .gif files that contain your graphics. Two other
document formats can be used as unofficial copies: PDF 1 and, in some cases, XBRL. You must
follow all of the rules outlined in this manual with regard to formatting these documents
regardless of the tool you use to prepare and transmit your submission. Keep in mind that not all
document formats are permitted for each tool.
2.1.1
Using EDGARLink Online
EDGARLink Online is an internet based online application. Filers can create a submission by
entering header data and attaching filing documents in a single session. You must log in to the
EDGAR Filing Website and indicate which form you would like to complete.
Once you have all of your documents prepared, you can assemble your EDGARLink Online
submission. Select the submission form type that you would like to file and you will be presented
with questions and fields that need to be completed. This data will be added to your submission
content and is commonly called the header or supplemental data.
EDGARLink Online allows you to indicate whether the submission should be considered a live
or test filing. A TEST filing allows you to make sure that the submission is correct by checking
all of the assembled documents and applying 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.
EDGARLink Online allows you to indicate whether you want to receive an exact copy of your
filing after processing is complete. Submission contact information may be used by the Filer
Support Branches or the SEC divisions or offices if there is an issue with your filing. Including
this information allows us to get in touch with you quickly. Using the Notification Information
page of the submission, you may add multiple e-mail addresses where you would like a
notification message sent. Using other pages of the submissions, you may add secondary
documents and provide fee information. You may save your filing to your local computer. As a
final step, you must transmit the submission in the same Internet session.
1
When certain specific criteria are met, a PDF attachment may qualify as an official document. Please refer to
Section 5.2.3 – PDF for more information.
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2.1.2
EDGAR OnlineForms Website
The EDGAR OnlineForms 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 log in to the EDGAR OnlineForms 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 Online submissions, you may include a number of
e-mail addresses for filing notifications. As a final step, you must transmit the submission in the
same Internet session.
2.1.3
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 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
to the login CIK starting with one on the first business day of each year. It is important to use
this number when reviewing the status of your filing or consulting with SEC divisions.
After transmitting your submission, you may check on its status, and review e-mail notifications.
In addition, if requested, you will receive messages via e-mail. The notification messages, which
are identical to those you can retrieve via the Internet, include both the status of the submission
and detailed error messages. EDGAR will either accept or suspend your filing. Acceptance
means that the filing meets all of the 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.
Table 2-1: Filing Checklist
Step
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EDGAR Filer Manual (Volume II)
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.
2
Review your company data on EDGAR to determine that it is
up-to-date. If you are an Investment Company with existing series
and classes (contracts), review your series and class information to
insure that names, status and ticker symbols are up-to-date before
you submit a filing. New series and classes (contracts) are to be
added via a filing. Details are in the EDGAR Filer Manual, Volume I,
General Information.
Note: This data is used in creating header data in some filings and
filing data in other types of filings. It is your responsibility to keep your
company information current.
3
Determine the submission type you need to file and then find it in the
indexes in Chapter 3, “Index to Forms.” This chapter will help you
identify the website that should be used to prepare and submit your
filing.
4
If your filing requires a fee, ensure that the funds are available in your
account. See Chapter 4, “Filing Fee Information.”
5
Create documents that will be attached to the submission. See
Chapter 5, “Constructing Attached Documents and Document Types.”
Note: If you are using the EDGAR OnlineForms Website, you do not
need to create the primary document.
EDGAR
Filing
Website 6 &
7
Access the EDGAR Filing Website and select the form type that you
want to submit. See Chapter 7 for completing an EDGARLink Online
Submission or Section 8.2 in Chapter 8 for completing an Online
Form using the EDGAR Filing Website. Skip to step 8.
EDGAR
OnlineForms
Website 6 &
7
Access the EDGAR OnlineForms Website and enter your form data.
See Chapter 8 for details. Transmit after data entry and verification.
Skip to step 10.
8
Transmit a test submission to the EDGAR system. For EDGARLink
Online submissions, see Section 7.6.4, “Test Submissions;” for XML
submissions, see Section 9.2.1, “Transmit XML as a Test
Submission.”
9
Review your acceptance/suspense message to determine if changes
are required. See Section 10.5, “Submission Information” for
instructions.
10
Transmit a live submission to the EDGAR system. Make sure that a
live file is created by having the live button clicked. For more details,
refer to Section 7.6, “Transmissions to EDGAR” or Section 9.2.2,
“Transmit XML as a Live Submission.”
11
Review your acceptance/suspense message. If necessary, correct
errors and file again. See Section 10.5, “Submission Information” for
instructions on reviewing your acceptance/suspense message.
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2.3
2.3.1
General Information for Filers
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 re-submit 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 browser as an integral
part of EDGAR, providing our interface to the EDGAR Filing Website.
2.3.3
Browser Differences
Internet Explorer (IE) and Google Chrome browsers comply with Secure Socket Layer (SSL)
communications that you will use to reach the EDGAR websites. Which browser you use is a
personal preference. This section covers some functions that are innate to browsers and how your
browser should be set up. You should be aware that there might be subtle differences if you are
using IE or Google Chrome.
Google Chrome Menu Bar
Internet Explorer Menu Bar
Figure 2-1: Browser Menu Bars
Browsers have very similar navigation functions: [Back], [Forward], [Stop], and [Reload]
buttons, Current Address Location fields, as well as buttons for performing other functions such
as printing and saving.
The biggest differences between the browsers are visual elements, such as buttons, menu options,
and the location of preference settings. In addition, browsers behave differently in how they save
or download files.
To change default Google Chrome download/save settings, select “Settings” from the icon at the
top right corner of the browser with the “Customize and control Google Chrome” help message;
this will cause the “Settings” tab to open in the same browser window. In the “Settings” tab,
click [Show advanced settings]. Under “Downloads,” select the “Ask where to save each file
before downloading” check box. Choosing this setting prompts you for a location each time you
save or download a file. For detailed information on your browser, see your browser's user
manual or help function.
The browser window works similarly to all windows, in that it can be maximized, minimized,
and sized. The default menu bar contains buttons that help you navigate the Internet; however,
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EDGAR Filer Manual (Volume II)
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.
IE and Google Chrome are the supported browsers for the EDGAR Filing Website, EDGAR
Filer Management, and EDGAR OnlineForms Management websites.
We recommend that you do not use multiple browser windows or tabs when working on
EDGAR. Otherwise, information from one window may impact information on other window(s)
causing EDGAR applications to potentially function incorrectly. If you want to use multiple
windows when working on EDGAR, you must select “New Session” (for IE) from the “File”
menu. This creates a new browser session that will not share information with the existing
session.
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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 for EDGAR
access codes. The Form ID application must be filed electronically through the EDGAR Filer
Management Website and include a notarized authentication document in PDF format. If you do
not attach the required notarized authentication document as a PDF to Form ID, we cannot
accept your application. Details of this process are covered in Volume I. Once you have obtained
your access codes, you will be ready to log in to EDGAR, transmit submissions, run company
queries, update your company information, or change your password or CCC (CIK Confirmation
Code).
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. The staff responds
to general EDGAR questions like how to become a filer, the Form ID process, how to get to the
websites, how to update filer information, filing of forms, and header tags. Filer Support is
available each business day from 9:00 A.M. to 5:30 P.M. Eastern Time. Filer Support voicemail
will be available during off hours.
For general fee information, contact our Fee Account Services Branch in the Office of Financial
Management at (202) 551-8900.
For Substantive questions, contact your Division or Office
For filing content, rule interpretations, filing date adjustments, and hardship exemption requests,
contact the division or office that reviews the filing during normal business hours 9:00 A.M. to
5:30 P.M., Eastern Time.
Division of Corporation Finance:
For help with filings reviewed by the Division of Corporation Finance, contact 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.
For help with Form ATS-N filings, contact the Office of Market Supervision, in the
Division of Trading and Markets, inquiry line: (202) 551-5777.
Division of Investment Management:
For help with filings reviewed by the Division of Investment Management, see below.
For Form 13F, call the IM Chief Counsel inquiry line: (202) 551-6825.
For N-CEN or Form 24F-2, call the N-CEN/24F-2 inquiry line: (202) 551-6703.
For investment company filings (except Forms 13F, N-CEN and 24F-2), call the IM
EDGAR inquiry line: (202) 551-6989.
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For questions concerning post-acceptance corrections and withdrawals, first please read
our notice, “IM EDGAR Post-Acceptance Corrections” under “Investment Management”
on the Guidance for Filers web page (https://www.sec.gov/info/edgar/guidance).
For questions concerning series and classes (contracts), first read our notice, “Series and
Class (Contract) Notice and FAQ’s” under “Investment Management” on the Guidance
for Filers web page (https://www.sec.gov/info/edgar/guidance).
Office of Municipal Securities:
For help with the municipal advisor registration forms (Forms MA, MA-I, MA-NR, and
MA-W), contact the Office of Municipal Securities at (202) 551-5680.
Office of Credit Ratings
For help with Form NRSRO and reports filed pursuant to Rule 17g-3 under the Exchange
Act, contact the Office of Credit Ratings by e-mail at NRSROsubmissions@sec.gov or by
phone at (212) 336-9080.
2.4
EDGAR Gateway and Websites
The SEC maintains a number of websites and URLs to support the filing process. As we have
developed more sites and URLs, it has become more complicated for filers to find the correct
location for any single activity. To alleviate this problem, we developed the EDGAR Gateway to
act as an interface between all EDGAR websites and URLs. By choosing the link that describes
what you want to do, you can connect to the correct resource to accomplish your task. You can
reach the EDGAR Gateway by using the following URL:
https://www.portal.edgarfiling.sec.gov
You can use links on this URL to access the websites or URLs. If you only remember one
EDGAR website, this is the one to remember. The other EDGAR websites and/or URLs as well
as their uses are as follows:
URL
Name
https://www.edgarfiling.sec.gov
Prepare and transmit EDGARLink Online Form filings
Prepare and transmit Regulation A Forms, Regulation
Crowdfunding Forms, Form 13H, Form 13F, Form SDR,
Security-based Swap Entity Form filings, Form X-17A-5 Part
III, Form 17-H, and Municipal Advisor Form filings
Transmit XML Filer-Constructed Submissions
Updates of Entity Information
Filing Status and E-mail Notifications
View the Fee Rate Table
EDGAR Filing Website
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URL
Name
https://www.onlineforms.edgarfiling.sec.gov
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
EDGAR OnlineForms Website
https://www.filermanagement.edgarfiling.sec.gov
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
Download the Filer Manual
EDGAR Filer Management Website
https://www.edgarcompany.sec.gov
Public Access to company information
EDGAR Company Database
https://www.sec.gov
Access to filings
Information on Existing Rules
Information on Proposed Rules
Download the Filer Manual
Frequently Asked Questions
Download Filer-Constructed Technical
Specifications
SEC’s Public Website
Please note that there may be more than one URL or website to help you with a single task. For
example, there are two URLs where you can change entity data and download the Filer Manual.
Please be very careful in linking to the websites. Some are preceded by https: and you will not be
allowed access to a secure site without this designator. You should use the Favorites feature built
into Internet Explorer to store the URLs for the sites you use frequently.
December 2018
2-9
EDGAR Filer Manual (Volume II)
This page is intentionally left blank.
3. INDEX TO FORMS
As a filer, you will first need to determine whether you must meet your filing obligation via
EDGAR. The SEC Rules, particularly Regulation S-T, General Rules and Regulations for
Electronic Filings, outline which filings are mandated as electronic. This means that they must be
filed on EDGAR unless there is a case for Temporary or Continuing Hardship. (The rules for
each form and hardship exemptions may differ, so please see the regulation for specific
information.) Once you determine the form you need to file is electronic, then you need to
identify the submission type to use. For each submission type, there are specific tools that you
can use.
As the EDGAR system has evolved using new technologies, tools have been added, changed,
and sometimes updated. There is no longer a single tool for preparing an EDGAR submission.
Your guide to the tools is this index. The first index allows you to lookup EDGAR electronic
submission types easily if all you know is the submission form type. Included in the last two
columns is detailed information about the tools that are used to create and/or assemble the filing.
The second index is easiest to use if you are more comfortable looking up your submission type
by Act.
Before using the indexes, it is important to understand the difference between the Code of
Federal Regulations (CFR) Form/Schedule/Rule column reference and the EDGAR Submission
Type column. The index entries under the CFR Form/Schedule/Rule column refer to the titles of
the actual Form, Schedule or Rule named in the CFR. The Submission Type refers to Form
variations filers use on the electronic filing system to fulfill their filing obligation. For example,
the paper Form 15 is implemented on EDGAR as a number of different submission types
including: 15-12B, 15-12G, and 15-15D. The last three digits represent the section of the 34 Act
under which the filer is obligated to file periodic reports.
Using either Index, find the submission type, check that the description of the form matches your
understanding of the purpose of the form, and identify the tool that should be used to create the
form. The options in this column are EDGARLink Online, and OnlineForms. There is a section
in this manual describing in detail each of these tools. Chapter 7, “Preparing and Transmitting
EDGARLink Online Submissions,” describes EDGARLink Online. Chapter 8, “Preparing and
Transmitting Online Submissions,” describes online submissions using the EDGAR
OnlineForms Website and EDGAR Filing Website. The column entitled Filer-Constructed
Technical Specifications should only be used by filers who want to create their submissions
without the use of EDGAR tools. These Technical Specifications are available on the SEC’s
Public Website. The Technical Specifications are delivered separately and are not part of the
Filer Manual.
Note: In Section 3.1, “Alpha/Numeric” for simplicity we include both the initial form and the
associated amendment in the Submission Type column.
December 2018
3-1
EDGAR Filer Manual (Volume II)
3.1
Alpha/Numeric
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
1-A, 1-A/A
Offering statement under Regulation A
EDGAR
Filing
Website
EDGAR
REG A XML
Technical
Specification
1-A POS
Post-qualification amendment to a 1-A offering
statement
EDGAR
Filing
Website
EDGAR
REG A XML
Technical
Specification
1-A-W, 1-A-W/A
Withdrawal of offering statement under Regulation A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-E, 1-E/A
Notification under Regulation E by small business
investment companies and business development
companies.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-E AD, 1-E AD/A
Sales material filed pursuant to Rule 607 under
Regulation E.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-K, 1-K/A
Annual Report Pursuant to Regulation A
EDGAR
Filing
Website
EDGAR
REG A XML
Technical
Specification
1-SA, 1-SA/A
Semiannual Report Pursuant to Regulation A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-U, 1-U/A
Current Report pursuant to Regulation A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-Z, 1-Z/A
Exit Report under Regulation A
EDGAR
Filing
Website
EDGAR REG
A XML
Technical
Specification
1-Z-W, 1-Z-W/A
Withdrawal of Exit Report under Regulation A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-2
December 2018
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
253G1
Reflects information previously omitted from the
offering circular in reliance on Rule 253(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
253G2
Reflects information that constitutes a substantive
EDGARLink
change from or addition to the information set forth in Online
the last offering circular
EDGARLink
Online XML
Technical
Specification
253G3
Reflects information covered in both 253G1 and
253G2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
253G4
Reflects information covered in 253G1, 253G2 or
253G3 that is not being timely filed
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
2-E, 2-E/A
Report of sales of securities pursuant to Rule 609
under Regulation E.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-12B, 10-12B/A
Initial general form for registration of a class of
securities pursuant to Section 12(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-12G, 10-12G/A
Initial general form for registration of a class of
securities pursuant to Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-D, 10-D/A
Periodic distribution reports by asset-backed issuers
pursuant to Rule 13a-17 or 15d-17
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-K, 10-K/A
Annual report pursuant to Section 13 and 15(d)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-KT, 10-KT/A
Transition report pursuant to Rule 13a-10 or 15d-10
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-Q, 10-Q/A
Quarterly report pursuant to Section 13 or 15(d)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2018
3-3
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
10-QT, 10-QT/A
Transition report pursuant to Rule 13a-10 or 15d-10
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
11-K, 11-K/A
Annual report of employee stock purchase, savings
and similar plans
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
11-KT, 11-KT/A
Transition report pursuant to rule 13a-10 or 15d-10
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
13F-HR, 13F-HR/A Initial Quarterly Form 13F Holdings Report filed by
institutional managers
EDGAR
Filing
Website
Online Forms
EDGAR
Form 13F
XML
Technical
Specification
13F-NT, 13F-NT/A
Initial Quarterly Form 13F Notice Report filed by
institutional managers
EDGAR
Filing
Website
Online Forms
EDGAR
Form 13F
XML
Technical
Specification
13H, 13H-Q,
13H-A, 13H-I,
13H-R, 13H-T
Large Trader Registration Information Required of
Large Traders Pursuant to the Securities Exchange
Act of 1934 and Rule 13h-1 Thereunder. Initial Filing
(13H), Amended Filing (13H-Q), Annual Filing (13HA), Inactive Status (13H-I), Reactivated Status (13HR), and Termination Filing (13H-T)
EDGAR
N/A
Filing
Website
Online Forms
144, 144/A
Filing for proposed sale of securities under Rule 144
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
15-12B, 15-12B/A
Notice of termination of registration of a class of
securities under Section 12(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
15-12G, 15-12G/A
Notice of termination of registration of a class of
securities under Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
15-15D, 15-15D/A
Notice of suspension of duty to file reports pursuant
to Section 13 and 15(d) of the Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-4
December 2018
Tool/
Template
Number
FilerConstructed
Form Spec.
15F-12B,
15F-12B/A
Notice of termination by a Foreign Private Issuer of a EDGARLink
class of equity securities under Section 12(b)
Online
EDGARLink
Online XML
Technical
Specification
15F-12G,
15F-12G/A
Notice of termination of a foreign private issuer’s
registration of a class of securities under Section
12(g).
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
15F-15D,
15F-15D/A
Notice of a foreign private issuer’s suspension of
duty to file reports pursuant to Section 13 and 15(d)
of the Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
17HACON,
17HACON/A
Confidential broker dealer annual 17-H report
EDGAR
Filing
Website
Online Forms
EDGAR
Form 17-H
XML
Technical
Specification
17HQCON,
17HQCON/A
Confidential broker dealer quarterly 17-H report
EDGAR
Filing
Website
Online Forms
EDGAR
Form 17-H
XML
Technical
Specification
18-12B, 18-12B/A
Form for initial registration of securities of foreign
governments or political subdivisions pursuant to
Section 12(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
18-12G, 18-12G/A
Form for initial registration of securities of foreign
governments or political subdivisions thereof
pursuant to Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
18-K, 18-K/A
Annual report for foreign governments and political
subdivisions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
20-F, 20-F/A
Annual and transition report of foreign private issuers EDGARLink
pursuant to Section 13 or 15(d)
Online
EDGARLink
Online XML
Technical
Specification
20FR12B,
20FR12B/A
Form for initial registration of a class of securities of
foreign private issuers pursuant to Section 12(b)
EDGARLink
Online XML
Technical
Specification
Submission Type
December 2018
Description
3-5
EDGARLink
Online
EDGAR Filer Manual (Volume II)
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
20FR12G,
20FR12G/A
Form for initial registration of a class of securities of
foreign private issuers pursuant to Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
24F-2NT,
24F-2NT/A
Rule 24F-2 notice filed on Form 24F-2
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
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
EDGAR
Ownership
XML
Technical
Specification
305B2, 305B2/A
Application for designation of a new trustee under
the Trust Indenture Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
4, 4/A
Statement of changes in beneficial ownership of
securities
OnlineForms
EDGAR
Ownership
XML
Technical
Specification
40-6B, 40-6B/A
Application under the Investment Company Act by an EDGARLink
employees’ securities company
Online
EDGARLink
Online XML
Technical
Specification
40-17F1,
40-17F1/A
Initial certificate of accounting of securities and
EDGARLink
similar investments in the custody of management
Online
investment companies filed pursuant to Rule 17f-1 of
the Investment Company Act of 1940 filed on Form
N-17F-1
EDGARLink
Online XML
Technical
Specification
40-17F2,
40-17F2/A
Initial certificate of accounting of securities and
EDGARLink
similar investments in the custody of management
Online
investment companies filed pursuant to Rule 17f-2 of
the Investment Company Act of 1940 filed on Form
N-17F-2
EDGARLink
Online XML
Technical
Specification
Submission Type
EDGAR Filer Manual (Volume II)
3-6
December 2018
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
40-17G, 40-17G/A
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the
Investment Company Act of 1940
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-17GCS,
4017GCS/A
Filings of claim or settlement pursuant to rule 17g1(g)(1)(2) or (3) of the Investment Company Act of
1940
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-24B2,
40-24B2/A
Filing of sales literature pursuant to Rule 24b2 under
the Investment Company Act of 1940
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-33, 40-33/A
Copies of all stockholder derivative actions filed with EDGARLink
a court against an investment company or an affiliate Online
thereof pursuant to Section 33 of the Investment
Company Act of 1940
EDGARLink
Online XML
Technical
Specification
40-8B25
Document or report
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-8F-2, 40-8F-2/A Initial application for de-registration pursuant to
Investment Company Act Rule 0-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-APP, 40-APP/A Applications under the Investment Company Act
other than those reviewed by Office of Insurance
Products
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-F, 40-F/A
Annual reports filed by certain Canadian issuers
pursuant to Section 15(d) and Rule 15d-4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40FR12B,
40FR12B/A
Registration of a class of securities of certain
Canadian issuers pursuant to Section 12(b) of the
1934 Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40FR12G,
40FR12G/A
Registration of a class of securities of certain
Canadian issuers pursuant to Section 12(g) of the
1934 Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-OIP, 40-OIP/A
Applications under the Investment Company Act
reviewed by Office of Insurance Products
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2018
3-7
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
424A
Prospectus filed pursuant to Rule 424(a)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B1
Prospectus filed pursuant to Rule 424(b)(1)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B2
Prospectus filed pursuant to Rule 424(b)(2)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B3
Prospectus filed pursuant to Rule 424(b)(3)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B4
Prospectus filed pursuant to Rule 424(b)(4)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B5
Prospectus filed pursuant to Rule 424(b)(5)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B7
Prospectus filed pursuant to Rule 424(b)(7)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B8
Prospectus filed pursuant to Rule 424(b)(8)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424H, 424H/A
Preliminary Prospectus filed pursuant to Rule 424(h)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
425
Filing under Securities Act Rule 425 of certain
prospectuses and communications in connection
with business combination transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
485APOS
Post-effective amendment filed pursuant to
Securities Act Rule 485(a) (this filing cannot be
submitted as a 1940 Act only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-8
December 2018
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
485BPOS
Post-effective amendment filed pursuant to
Securities Act Rule 485(b) (this filing cannot be
submitted as a 1940 Act only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
485BXT
Post-effective amendment filed pursuant to
Securities Act Rule 485(b)(1)(iii) to designate a new
effective date for a post-effective amendment
previously filed pursuant to Securities Act Rule
485(a) (this filing cannot be submitted as a 1940 Act
only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
486APOS
Post-effective amendment to filing filed pursuant to
Securities Act Rule 486(a) (this filing cannot be
submitted as a 1940 Act only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
486BPOS
Post-effective amendment to filing filed pursuant to
Securities Act Rule 486(b) (this filing cannot be
submitted as a 1940 Act only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
486BXT
Post-effective amendment filed pursuant to
Securities Act Rule 486(b)(1)(iii) to designate a new
effective date for a post-effective amendment
previously filed pursuant to Securities Act Rule
486(a) (this filing cannot be submitted as a 1940 Act
only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
487
Pre-effective pricing amendment filed pursuant to
Securities Act Rule 487
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
497
Definitive materials filed under paragraph (a), (b), (c), EDGARLink
(d), (e) or (f) of Securities Act Rule 497
Online
EDGARLink
Online XML
Technical
Specification
497AD
Filing by certain investment companies of Securities
Act Rule 482 advertising in accordance with
Securities Act Rule 497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
497H2
Filings made pursuant to Rule 497(h)(2)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
497J
Certification of no change in definitive materials
under paragraph (j) of Securities Act Rule 497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2018
3-9
EDGAR Filer Manual (Volume II)
Tool/
Template
Number
FilerConstructed
Form Spec.
497K
Summary Prospectus for certain open-end
EDGARLink
management investment companies filed pursuant to Online
Securities Act Rule 497(k)
EDGARLink
Online XML
Technical
Specification
5, 5/A
Annual statement of changes in beneficial ownership OnlineForms
of securities
EDGAR
Ownership
XML
Technical
Specification
6-K, 6-K/A
Current report of foreign issuer pursuant to Rules
13a-16 and 15d-16 Amendments
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-A12B, 8-A12B/A
Form for the registration / listing of a class of
EDGARLink
securities on a national securities exchange pursuant Online
to Section 12(b)
EDGARLink
Online XML
Technical
Specification
Submission Type
Description
8-A12G, 8-A12G/A Form for registration of a class of securities pursuant
to Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-K, 8-K/A
Current report filing
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-K12B, 8-K12B/A
Notification that a class of securities of successor
issuer is deemed to be registered pursuant to
Section 12(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-K12G3,
8-K12G3/A
Notification that a class of securities of successor
issuer is deemed to be registered pursuant to
Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-K15D5,
8-K15D5/A
Notification of assumption of duty to report by
successor issue under Section 15(d)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
ABS-15G,
Asset-backed securities report pursuant to Section
15G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
ABS-15G/A
EDGAR Filer Manual (Volume II)
3-10
December 2018
Submission Type
ABS-EE,
ABS-EE/A
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Form for Submission of Electronic Exhibits in assetbacked securities offerings
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification,
EDGAR ABS
XML
Technical
Specification
ANNLRPT,
ANNLRPT/A
Periodic Development Bank filing, submitted annually EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
APP WD,
APP WD/A
Withdrawal of an application for exemptive or other
relief from the federal securities laws
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
ARS, ARS/A
Annual report to security holders
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
ATS-N
Initial Form ATS-N (Rule 304(a)(1)(i))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
ATS-N/CA
Correcting Amendment (Rule 304(a)(2)(i)(C))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
ATS-N/MA
Material Amendment (Rule 304(a)(2)(i)(A))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
ATS-N/OFA
Order Display and Fair Access Amendment (Rule
304(a)(2)(i)(D))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
ATS-N/UA
Updating Amendment (Rule 304(a)(2)(i)(B))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
December 2018
3-11
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
ATS-N-C
Notice of Cessation (Rule 304(a)(3))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
ATS-N-W
Withdrawal of Form ATS-N filing
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
AW
Withdrawal of amendment to a registration statement EDGARLink
filed under the Securities Act
Online
EDGARLink
Online XML
Technical
Specification
AW WD
Withdrawal of a request for withdrawal of an
amendment to a registration statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
BULK
Bulk Submission
EDGARLink
Online
C, C/A
Offering Statement
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-W
Offering Statement Withdrawal
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C/A-W
Amendment to Offering Statement Withdrawal
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-U
Progress Update
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-U-W
Progress Update Withdrawal
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-AR, C-AR/A
Annual Report
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-12
December 2018
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
C-AR-W
Annual Report Withdrawal
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-AR/A-W
Amendment to Annual Report Withdrawal
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-TR
Termination of Reporting
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-TR-W
Termination of Reporting Withdrawal
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
CB, CB/A
Notification form filed in connection with certain
EDGARLink
tender offers, business combinations and rights
Online
offerings, in which the subject company is a foreign
private issuer of which less than 10% of its securities
are held by U.S. persons
EDGARLink
Online XML
Technical
Specification
CERT
Certification by an exchange approving securities for
listing
EDGARLink
Online
N/A
CFPORTAL,
CFPORTAL/A
Application for registration of funding portal
EDGAR
Filing
Website
EDGAR
Form
CFPORTAL
XML
Technical
Specification
CFPORTAL-W
Withdrawal of the funding portal’s registration
EDGAR
Filing
Website
EDGAR
Form
CFPORTAL
XML
Technical
Specification
CORRESP
A correspondence can be sent as a document with
another submission type or can be sent as a
separate submission.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
D, D/A
Official notice of an offering of securities that is made Online Forms
without registration under the Securities Act in
reliance on an exemption provided by Regulation D
and Section 4(a)(5) under the Act.
EDGAR
Form D XML
Technical
Specification
December 2018
3-13
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
DEF 14A
Definitive proxy statements
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEF 14C
Definitive information statements
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFA14A
Definitive additional proxy soliciting materials
including Rule 14(a)(12) material. Note: Submission
type DEFA14A can be filed as part of Form 8-K. For
filers subject to 8-K filing requirements, we
recommend the use of the 8-K combined form type
as the easiest method for fulfilling your filing
requirement for both forms.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFA14C
Definitive additional information statement materials
including Rule 14(a)(12) material
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFC14A
Definitive proxy statement in connection with
contested solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFC14C
Definitive information statement - contested
solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFM14A
Definitive proxy statement relating to a merger,
acquisition, or disposition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFM14C
Definitive information statement relating to merger or
acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFN14A
Definitive proxy statement filed by non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFR14A
Definitive revised proxy soliciting materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-14
December 2018
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
DEFR14C
Definitive revised information statement materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEL AM
Separately filed delaying amendment under
Securities Act Rule 473 to delay effectiveness of a
1933 Act registration statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DFAN14A
Definitive additional proxy soliciting materials filed by
non-management including Rule 14(a)(12) material
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DFRN14A
Revised definitive proxy statement filed by nonmanagement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DOS, DOS/A
Non-public draft offering statement under Regulation
A
EDGAR
Filing
Website
N/A
DOSLTR
Draft Offering Statement Letter
EDGARLink
Online
N/A
DRS, DRS/A
Draft registration statement submitted by Emerging
Growth Company under Securities Act Section 6(e)
or by Foreign Private Issuer under Division of
Corporation Finance policy
EDGARLink
Online
N/A
DRSLTR
Correspondence Related to Draft Registration
Statement
EDGARLink
Online
N/A
DSTRBRPT,
DSTRBRPT/A
Distribution of primary obligations Development Bank EDGARLink
report
Online
EDGARLink
Online XML
Technical
Specification
F-1, F-1/A
Registration statement for securities of certain
foreign private issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-10, F-10/A
Registration statement for securities of certain
Canadian issuers under the Securities Act of 1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-10EF
Auto effective registration statement for securities of
certain Canadian issuers under the Securities Act of
1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2018
3-15
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
F-10POS
Post-effective amendment to a F-10EF registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-1MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form F-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3, F-3/A
Registration statement for specified transactions by
certain foreign private issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3ASR
Automatic shelf registration statement of securities of EDGARLink
well-known seasoned issuers
Online
EDGARLink
Online XML
Technical
Specification
F-3D
Registration statement for dividend or interest
EDGARLink
reinvestment plan securities of foreign private issuers Online
EDGARLink
Online XML
Technical
Specification
F-3DPOS
Post-Effective amendment to a F-3D registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form F 3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4 POS
Post-effective amendment to a F-4EF registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4, F-4/A
Registration statement for securities issued by
foreign private issuers in certain business
combination transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4EF
Auto effective registration statement for securities by
certain foreign private issuers in connection with
certain business combination transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form F 4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-16
December 2018
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
F-6 POS
Post-effective amendment to a F-6EF registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-6, F-6/A
Registration statement for American Depositary
Receipts representing securities of certain foreign
private issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-6EF
Auto effective registration statement for American
Depositary Receipts representing securities of
certain foreign private issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-7 POS
Post-effective amendment to a F-7 registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-7, F-7/A
Registration statement for securities of certain
Canadian issuers offered for cash upon the exercise
of rights granted to existing security holders under
the Securities Act of 1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-8 POS
Post-effective amendment to a F-8 registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-8, F-8/A
Registration statement for securities of certain
Canadian issuers to be issued in exchange offers or
a business combination under the Securities Act of
1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-80, F-80/A
Registration of securities of certain Canadian issuers EDGARLink
to be issued in exchange offers or a business
Online
combination under the Securities Act of 1933
EDGARLink
Online XML
Technical
Specification
F-80POS
Post-effective amendment to a F-80 registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-N, F-N/A
Notification of the appointment of an agent for
service by certain foreign institutions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
FWP
Filing under Securities Act Rules 163/433 of free
writing prospectuses
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2018
3-17
EDGAR Filer Manual (Volume II)
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
F-X, F-X/A
For appointment of agent for service of process by
issuers registering securities
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
IRANNOTICE
Notice of disclosure filed in Exchange Act quarterly
and annual reports pursuant to Section 219 of the
Iran Threat Reduction and Syria Human Rights Act
of 2012 and Section 13(r) of the Exchange Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
MA, MA-A, MA/A
Municipal Advisor registration required pursuant to
Section 15B(a)(2) of the Securities Exchange Act of
1934 and the Rules Thereunder. Application for
Municipal Advisor Registration (MA), Annual Update
of Municipal Advisor Registration (MA-A), and
Amendment of a Prior Application for Registration
(MA/A)
EDGAR
Filing
Website
Online Forms
EDGAR
Form MA
XML
Technical
Specification
MA-I, MA-I/A
Information Regarding Natural Persons Who Engage EDGAR
in Municipal Advisory Activities, and Amendment of a Filing
Previously Submitted Form MA-I
Website
Online Forms
EDGAR
Form MA
XML
Technical
Specification
MA-W
Notice of Withdrawal from Registration as a
Municipal Advisor
EDGAR
Filing
Website
Online Forms
EDGAR
Form MA
XML
Technical
Specification
MODULE
Module Submission
EDGARLINK EDGARLink
Online XML
Online
Technical
Specification
N-1, N-1/A
Initial registration statement filed on Form N-1 for
open-end management investment companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-14 8C,
N-14 8C/A
Initial registration statement filed on Form N14 by
closed-end investment company (business
combinations)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-14, N-14/A
Initial registration statement filed on Form N14 for
open-end investment company, including those filed
with automatic effectiveness under Rule 488
(business combinations)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission Type
EDGAR Filer Manual (Volume II)
3-18
December 2018
Tool/
Template
Number
FilerConstructed
Form Spec.
N-14MEF
A new registration statement filed on Form N14 by
EDGARLink
closed end investment companies filed under
Online
Securities Act Rule 462(b) of up to an additional 20%
of securities for an offering that was registered on
Form N-14
EDGARLink
Online XML
Technical
Specification
N-18F1, N-18F1/A
Initial notification of election pursuant to Rule 18f-1
filed on Form N-18F-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-1A, N-1A/A
Initial registration statement filed on Form N1A for
open-end management investment companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-2, N-2/A
Initial filing of a registration statement on Form N-2
for closed-end investment companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-23C-2,
N-23C-2/A
Notice by closed-end investment companies of
intention to call or redeem their own securities under
Investment Company Act Rule 23c-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-23C3A,
N23C3A/A
Notification of periodic repurchase offer Filed
pursuant to Rule 23c-3(b) only
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-23C3B,
N23C3B/A
Filing pursuant to Rule 23c-3(c) only on Form
N-23C-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-23C3C,
N23C3C/A
Filing pursuant to Rule 23c-3(b) and (c) on Form
N-23C-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-27D-1,
N-27D-1/A
Accounting for segregated trust accounts on Form N- EDGARLink
27D-1
Online
EDGARLink
Online XML
Technical
Specification
N-2MEF
A new registration statement on Form N-2 filed under EDGARLink
Securities Act Rule 462(b) by closed-end investment Online
companies of up to an additional 20% of securities
for an offering that was registered on Form N-2
EDGARLink
Online XML
Technical
Specification
N-3, N-3/A
Initial registration statement on Form N-3 for
separate accounts (management investment
companies)
EDGARLink
Online XML
Technical
Specification
Submission Type
December 2018
Description
3-19
EDGARLink
Online
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
N-30B-2
Periodic and interim reports mailed to investment
company shareholders (other than annual and semiannual reports mailed to shareholders pursuant to
Rule 30e-1)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-30D, N-30D/A
Initial annual and semi-annual reports mailed to
investment company shareholders pursuant to Rule
30e-1 (other than those required to be submitted as
part of Form NCSR.)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-4, N-4/A
Initial registration statement on Form N-4 for
separate accounts (unit investment trusts)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-5, N-5/A
Registration statement for small business investment EDGARLink
companies
Online
EDGARLink
Online XML
Technical
Specification
N-54A, N-54A/A
Notification of election by business development
companies filed on Form N-54A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-54C, N-54C/A
Notification of withdrawal by business development
companies filed on Form N-54C
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-6, N-6/A
Registration statement for separate accounts (unit
investment trusts)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-6F, N-6F/A
Notice of intent by business development companies EDGARLink
to elect to be subject to Sections 55 through 65 of
Online
the 1940 Act filed on Form N-6F
EDGARLink
Online XML
Technical
Specification
N-8A, N-8A/A
Initial notification of registration under Section 8(a)
filed on Form N-8A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-8B-2, N-8B-2/A
Initial registration statement for unit investment trusts EDGARLink
filed on Form N-8B-2
Online
EDGARLink
Online XML
Technical
Specification
N-8B-3, N-8B-3/A
Initial registration statement for periodic payment
plans filed on Form N-8B-3
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-20
EDGARLink
Online
December 2018
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
N-8B-4, N-8B-4/A
Initial registration statement for face-amount
certificate companies filed on Form N-8B-4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-8F, N-8F/A
Application for deregistration made on Form N-8F
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-CEN, N-CEN/A
Annual Report for Registered Investment Companies EDGAR
Filing
Website
Online Forms
EDGAR
Form N-CEN
XML
Technical
Specification
N-CR, N-CR/A
Current Report of Money Market Fund Material
Events
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-CSR, N-CSR/A
Certified annual shareholder report of registered
EDGARLink
management investment companies filed on Form N- Online
CSR
EDGARLink
Online XML
Technical
Specification
N-CSRS,
N-CSRS/A
Certified semi-annual shareholder report of
registered management investment companies filed
on Form N-CSR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-LIQUID,
N-LIQUID/A
Current Report Open-End Management Investment
Company Liquidity
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-MFP2,
N-MFP2/A
Monthly Schedule of Portfolio Holdings of Money
Market Funds on Form N-MFP
N/A
EDGAR
Form NMFP2 XML
Technical
Specification
NPORT-EX,
Portfolio Holdings Exhibit to Form N-PORT
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Monthly Portfolio Investments Report on Form NPORT (Non-Public)
N/A
EDGAR
Form NPORT XML
Technical
Specification
NPORT-EX/A
NPORT-NP,
NPORT-NP/A
December 2018
3-21
EDGAR Filer Manual (Volume II)
Submission Type
NPORT-P,
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Monthly Portfolio Investments Report on Form NPORT (Public)
N/A
EDGAR
Form NPORT XML
Technical
Specification
N-PX, N-PX/A
Annual Report of Proxy Voting Record of Registered
Management Investment Companies filed on Form
N-PX
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-PX-CR,
N-PX-CR/A
Annual Form N-PX Combination Report filed by
institutional managers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-PX-FM,
N-PX-FM/A
Annual Report of Proxy Voting Record of Registered
Management Investment Companies that includes
proxy votes institutional managers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-PX-NT,
N-PX-NT/A
Annual Form N-PX Notice filed by institutional
managers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-PX-VR,
N-PX-VR/A
Annual Form N-PX Voting Report filed by institutional EDGARLink
managers
Online
EDGARLink
Online XML
Technical
Specification
N-Q, N-Q/A
Quarterly Schedule of Portfolio Holdings of
Registered Management Investment Company filed
on Form N-Q
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NRSRO-UPD
Form NRSRO – Update of Registration for Nationally EDGARLink
Recognized Statistical Rating Organizations
Online
EDGARLink
Online XML
Technical
Specification
NRSRO-CE,
NRSRO-CE/A
Form NRSRO – Annual Certification for Nationally
Recognized Statistical Rating Organizations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NRSRO-FR,
NRSRO-FR/A
Annual Financial/Other Reports for Nationally
Recognized Statistical Rating Organizations, as
required by Rule 17g-3 (Non-Public)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NRSRO-WCLS
Form NRSRO – Withdrawal from Credit Rating Class EDGARLink
for Nationally Recognized Statistical Rating
Online
Organizations
EDGARLink
Online XML
Technical
Specification
NPORT-P/A
EDGAR Filer Manual (Volume II)
3-22
December 2018
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
NRSRO-WREG
Form NRSRO – Withdrawal from Registration as
Nationally Recognized Statistical Rating
Organization
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NSAR-A,
NSAR-A/A
Semi-annual report for management companies filed
on Form N-SAR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NSAR-AT,
NSAR-AT/A
Transitional semi-annual report filed on Form N-SAR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NSAR-B,
NSAR-B/A
Annual report for management companies filed on
Form N-SAR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NSAR-BT,
NSAR-BT/A
Transitional annual report filed on Form N-SAR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NSAR-U,
NSAR-U/A
Annual report for unit investment trusts filed on Form
N-SAR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 10-K,
NT 10-K/A
Notice under Rule 12b25 of inability to timely file all
or part of a Form 10-K, 10-KSB, or 10-KT
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 10-D,
NT 10-D/A
Notice under Rule 12b25 of inability to timely file all
or part of a Form 10-D
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 10-Q,
NT 10-Q/A
Notice under Rule 12b25 of inability to timely file all
or part of a form 10-Q or 10-QSB
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 11-K,
NT 11-K/A
Notice under Rule 12b25 of inability to timely file all
or part of a form 11-K
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 15D2,
NT 15D2/A
Notice under Rule 12b25 of inability to timely file a
special report pursuant to Section 15d-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2018
3-23
EDGAR Filer Manual (Volume II)
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
NT 20-F,
NT 20-F/A
Notice under Rule 12b25 of inability to timely file all
or part of an annual report of form 20-F
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT-NCEN,
Notice under Exchange Act Rule 12b-25 of inability
to timely file Form N-CEN
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT-NCSR,
NTNCSR/A
Notice under Exchange Act Rule 12b-25 of inability
to timely file Form N-CSR (annual or semi-annual
report)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT-NSAR,
NTNSAR/A
Notice under Exchange Act Rule 12b-25 of inability
to timely file Form N-SAR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS 8C
Post-effective amendment filed under the 1933 Act
only or under both the 1933 and 1940 Acts pursuant
to Section 8(c) of the 1933 Act by closed-end
investment companies (this filing cannot be
submitted as a 1940 Act only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS AM
Post-effective amendment to a registration statement EDGARLink
that is not immediately effective upon filing
Online
EDGARLink
Online XML
Technical
Specification
POS AMI
Post-effective amendment (for filings made under the EDGARLink
1940 Act only)
Online
EDGARLink
Online XML
Technical
Specification
POSASR
Post-effective Amendment to an automatic shelf
registration statement on Form S-3ASR or Form F3ASR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS EX
Post-effective amendment filed solely to add exhibits
to a registration statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS462B
Post-effective amendment to Securities Act Rule
462(b) registration statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS462C
Post-effective amendment to a registration statement EDGARLink
filed under Rule 462(c)
Online
EDGARLink
Online XML
Technical
Specification
Submission Type
NT-NCEN/A
EDGAR Filer Manual (Volume II)
3-24
December 2018
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
PRE 14A
Preliminary proxy statement not related to a
contested matter or merger/acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRE 14C
Preliminary information statement not related to a
contested matter or merger/acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREC14A
Preliminary proxy statement in connection with
contested solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREC14C
Preliminary information statements - contested
solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREM14A
Preliminary proxy statement relating to a merger,
acquisition, or disposition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREM14C
Preliminary information statements relating to merger EDGARLink
or acquisition
Online
EDGARLink
Online XML
Technical
Specification
PREN14A
Preliminary proxy statement filed by
non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRER14A
Preliminary revised proxy soliciting materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRER14C
Preliminary revised information statements
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRRN14A
Revised preliminary proxy statement filed by nonmanagement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PX14A6G
Notice of exempt solicitation
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2018
3-25
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
PX14A6N
Notice of exempt solicitation for the purpose of
determining whether to solicit proxies, consents, or
authorizations in opposition to a proposed roll-up
transaction filed pursuant to Rule 14a6(g) of the
Securities Exchange Act of 1934
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
QRTLYRPT,
QRTLYRPT/A
Periodic Development Bank filing, submitted
quarterly
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
RW
Registration Withdrawal Request
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
RW WD
Withdrawal of a Registration Withdrawal Request
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-1, S-1/A
General form of registration statement for all
companies including face-amount certificate
companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-11, S-11/A
Registration statement for securities to be issued by
real estate companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-11MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form S-11
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-1MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form S-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-20, S-20/A
Registration statement for standardized options
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3, S-3/A
Registration statement for specified transactions by
certain issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3ASR
Automatic shelf registration statement of securities of EDGARLink
well-known seasoned issuers
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-26
December 2018
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
S-3D
Automatically effective registration statement for
securities issued pursuant to dividend or interest
reinvestment plans
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3DPOS
Post-effective amendment to a S-3D registration
statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form S-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4 POS
Post-effective amendment to a S-4EF registration
statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4, S-4/A
Registration of securities issued in business
combination transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4EF
Auto effective registration statement for securities
issued in connection with the formation of a bank or
savings and loan holding company in compliance
with General Instruction G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form S-4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-6, S-6/A
Initial registration statement filed on Form S-6 for unit EDGARLink
investment trusts
Online
EDGARLink
Online XML
Technical
Specification
S-8
Initial registration statement for securities to be
offered to employees pursuant to employee benefit
plans
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-8 POS
Post-effective amendment to a S-8 registration
statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-B, S-B/A
Registration statement for securities of foreign
governments and subdivisions thereof under the
Securities Act of 1933 (Schedule B)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2018
3-27
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
S-BMEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form S-B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SBSE, SBSE/A
Application for Registration of Security-based Swap
EDGAR
Dealers and Major Security-based Swap Participants Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
SBSE-A,
SBSE-A/A
Application for Registration of Security-based Swap
Dealers and Major Security-based Swap Participants
that are Registered or Registering with the
Commodity Futures Trading Commission as a Swap
Dealer or Major Swap Participant
EDGAR
Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
SBSE-BD,
SBSE-BD/A
Application for Registration of Security-based Swap
EDGAR
Dealers and Major Security-based Swap Participants Filing
that are Registered Broker-dealers
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
SBSE-C
Certifications for Registration of Security-based
Swap Dealers and Major Security-based Swap
Participants
EDGAR
Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
SBSE-W
Request for Withdrawal from Registration as a
EDGAR
Security-based Swap Dealer or Major Security-based Filing
Swap Participant
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
SC 13D, SC 13D/A Schedule filed to report acquisition of beneficial
ownership of 5% or more of a class of equity
securities
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC 13E1,
SC 13E1/A
Schedule 13-E1 statement of issuer required by Rule EDGARLink
13e-1
Online
EDGARLink
Online XML
Technical
Specification
SC 13E3,
SC 13E3/A
Schedule filed to report going private transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC 13G, SC 13G/A Schedule filed to report acquisition of beneficial
ownership of 5% or more of a class of equity
securities by passive investors and certain
institutions
EDGAR Filer Manual (Volume II)
3-28
December 2018
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
SC 14D9,
SC 14D9/A
Tender offer solicitation/recommendation statements
filed under Rule 14d
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.