# Filer Manual – Volume II

> Briefs, arguments, decisions, and more.

URL: https://www.frixlaw.com/law-library/documents/agency%3Asec%3Ac9dab622f1648699

## Record

- **Collection:** Agency decision
- **Document type:** Agency decision

## Text

Filer Manual – Volume II
EDGAR Filing
VERSION 17

August 2011

Notice
Use this EDGAR® Filer Manual when making electronic filings with the United States
Securities and Exchange Commission (SEC or "Commission"). See Rule 301 of Regulation S-T.
The EDGAR Filer Manual consists of three volumes. EDGAR Filer Manual (Volume I) General
Information introduces the requirements for becoming an EDGAR Filer and maintaining
EDGAR company information. EDGAR Filer Manual (Volume II) EDGAR Filing illustrates the
process to submit an online filing. EDGAR Filer Manual (Volume III) N-SAR Supplement is a
guide for preparing electronic submissions of Form N-SAR.
For up-to-date information regarding filing-related topics, consult the following
EDGAR websites:
Information for EDGAR Filers (http://www.sec.gov/info/edgar.shtml)
EDGAR Gateway to submit filings
http://www.portal.edgarfiling.sec.gov)
EDGAR Company Database (http://www.edgarcompany.sec.gov)
®

®

EDGAR and EDGARLink are registered trademarks of the Securities and Exchange
Commission. EDGARLite™ is a trademark of the Securities and Exchange Commission. All
other product brand names mentioned in this Filer Manual are trademarks or registered
trademarks of their respective holders.
To protect the privacy of our filing community, filers are asked not to include social security
numbers in filings submitted to the Commission.

August 2011

EDGAR Filer Manual (Volume II)

Updates
On August 1, 2011, EDGAR Release 11.2 will introduce the following changes:
The offline EDGARLink tool and the associated templates have been retired and will no
longer be available. XFDL submissions created by the offline EDGARLink tool or those
constructed by filers according to the EDGAR XFDL Technical Specification will no
longer be accepted. The EDGARLink Online Application, available from the EDGAR
Filing Website (https://www.edgarfiling.sec.gov/), must be used to file all submissions
previously supported by the offline EDGARLink tool.
Those filers that use the EDGAR XFDL Technical Specification to create filerconstructed submissions without the use of the EDGARLink tool, and wish to do the
same outside of the EDGARLink Online Application, can do so by following the
EDGARLink Online XML Technical Specification, available from the Information for
EDGAR Filers web page (http://www.sec.gov/info/edgar.shtml).
New submission form types 13H, 13H-A, 13H-Q, 13H-I, 13H-T, and 13H-R will be
added to the EDGAR Filing Website and will be available for use if the Commission
adopts a final rule associated with Proposing Release No.34-61908. If adopted by the
Commission, the submission form types will be accessed by selecting the “File 13H” link
on the EDGAR Filing Website. These non-public submissions will not be disseminated
by EDGAR.
New submission form types N-PX-CR, N-PX-FM, N-PX-NT, N-PX-VR and their
amendments will be available on EDGARLink Online. These submission types will be
available for live filings November 1, 2011, or later, pending additional Commission rule
making related to the amendments to Form N-PX.
EDGARLink Online submission form types N-PX and N-PX/A, will no longer support
co-registrants. The N-PX and N-PX/A submissions will be suspended unless the filer's
reporting file number is an 811- file number.
Appendix G has been revised to give clearer guidance to Form 13F filers to facilitate the
correct preparation, assembling, and submission of these filings.
Submission form type N-MFP and its variants have been updated as follows:
o “Item 5” (Name/Identity of Administrator) and “Item 6” (Name/Identity of
Transfer Agent) will now be required, allowing “None” as an acceptable value.
o The “Report Date” can be the last business day of the month or any calendar day
of the month after the last business day of the month; previously, the “Report
Date” had to be the last business day of the month.
o Form N-MFP submissions will be disseminated 60 calendar days after the last
calendar day of the Report Date month; previously, they were disseminated 60
calendar days after the Report Date listed in the submission.
The maximum size of an EDGARLink Online submission, including all attached
documents, has been increased to 200 MB.
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EDGAR Filer Manual (Volume II)

The OMB expiration date on Forms 3, 4, 5, and 25-NSE will be updated. The OMB
expiration dates on Forms 3 and 4 will be updated to November 30, 2011; Form 5 will be
updated to January 31, 2014; Form 25-NSE will be updated to January 31, 2012.
The direct dial (Point-to-Point Protocol) transmission method will be terminated. Filers
will not be able to use the Point-to-Point Protocol to transmit submissions to the EDGAR
Filing Website.
Filers may now select additional applicant types when completing the Form ID to apply
for EDGAR access codes. The new applicant types are:
o Institutional Investment Manager (Form 13F Filer)
o Investment Company (or insurance product separate account) or Business
Development Company
o Large Trader
o Non-Investment Company Applicant under the 1940 Act
On March 28, 2011, EDGAR Release 11.1 introduced the following changes:
New 8-K Item 1.04 (Mine Safety – Reporting of Shutdowns and Patterns of Violations)
was added to EDGARLink Online for submission form types 8-K, 8-K/A, 8-K 12B, 8-K
12B/A, 8-K 12G3, 8-K 12G3/A, 8-K 15D5, and 8-K 15D5/A. See Proposing Release No.
34-63548.
New Exhibit Type EX-95 (Mine Safety Disclosure Exhibit) was added to EDGARLink
Online for submission form types 10-K, 10-K/A, 10-KT, 10-KT/A, 10-Q, 10-Q/A, 10QT, 10-QT/A, 20-F, 20-F/A, 40-F, and 40-F/A. See Proposing Release No.34-63548.
Filers may upload the required notarized authentication document in Portable Document
Format (PDF) when completing the process to “Convert Paper Only Filer to Electronic
Filer” from the EDGAR Filer Management Website (https://www.filer
management.edgarfiling.sec.gov).
Because the Commission establishes a company record on EDGAR for approved BrokerDealer Registration Applications and creates a Central Index Key (CIK) for that
company, Broker-dealers, who may be required to file certain forms electronically on
EDGAR, should complete the process to “Convert Paper Only Filer to Electronic Filer,”
from the EDGAR Filer Management website, instead of completing the Form ID (see
EDGAR Filer Manual, Volume I, General Information for details). This is because the
Form ID should be completed by those for which a CIK has not already been established
on EDGAR. Once a Broker-Dealer has completed this process and received the necessary
access codes, they will be able to file electronically on EDGAR.
On February 28, 2011, EDGAR Release 11.0 introduced the following changes:
EDGAR was updated to support the US GAAP 2011 Taxonomy. Please refer to
http://sec.gov/info/edgar/edgartaxonomies.shtml for the complete listing of supported
standard taxonomies.
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August 2011

Table of Contents
1.
INTRODUCTION TO VOLUME II ............................................................................. 1-1
1.1 Organization of this Manual .............................................................................................. 1-1
1.1.1 Conventions Used in the Filer Manual ............................................................................ 1-2
2.
QUICK GUIDE TO EDGAR FILING .......................................................................... 2-1
2.1 EDGAR Filing Process ..................................................................................................... 2-1
2.1.1 Using EDGARLink Online .............................................................................................. 2-2
2.1.2 EDGAR OnlineForms/XML Website.............................................................................. 2-3
2.1.3 After a Submission is Filed .............................................................................................. 2-3
2.2 Filing Checklist ................................................................................................................. 2-4
2.3 General Information for Filers .......................................................................................... 2-5
2.3.1 Hours of Operation .......................................................................................................... 2-5
2.3.2 Introduction to Web Browsers ......................................................................................... 2-6
2.3.3 Browser Differences ........................................................................................................ 2-6
2.3.4 Accessing EDGAR .......................................................................................................... 2-7
2.3.5 Getting Help with EDGAR .............................................................................................. 2-7
2.4 EDGAR Gateway and Websites........................................................................................ 2-8
3.
3.1
3.2

INDEX TO FORMS ........................................................................................................ 3-1
Alpha/Numeric .................................................................................................................. 3-2
Electronic Form Types by Act ........................................................................................ 3-25

4.
FILING FEE INFORMATION ..................................................................................... 4-1
4.1 Where to Pay Filing Fees .................................................................................................. 4-1
4.2 How to Send Filing Fees to U.S. Bank.............................................................................. 4-1
4.3 Filings that Require Filing Fees ........................................................................................ 4-2
4.3.1 1933 Act Filings by Corporations .................................................................................... 4-2
4.3.2 1934 Act Filings ............................................................................................................... 4-3
4.3.3 1933 and 1940 Act Filings by Investment Companies .................................................... 4-3
4.4 How to Calculate a Filing Fee ........................................................................................... 4-3
4.4.1 1933 Act Filings ............................................................................................................... 4-3
4.4.2 1934 Act Filings ............................................................................................................... 4-4
4.4.3 1939 Act Filings ............................................................................................................... 4-4
4.5 Offsetting Fees .................................................................................................................. 4-4
4.5.1 Offsetting Fees Example .................................................................................................. 4-5
4.5.2 Example of Fee Calculation for 24F-2NT ....................................................................... 4-5
4.6 Common Problems ............................................................................................................ 4-6
5.
CONSTRUCTING ATTACHED DOCUMENTS AND DOCUMENT TYPES ....... 5-1
5.1 Introduction ....................................................................................................................... 5-1
5.1.1 File Naming Standards ..................................................................................................... 5-1
5.1.2 Statutory Signatures ......................................................................................................... 5-1
5.2 Document Formats ............................................................................................................ 5-2
5.2.1 ASCII Documents ............................................................................................................ 5-2
5.2.2 HTML ............................................................................................................................ 5-11
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5.2.3 Unofficial PDF ............................................................................................................... 5-24
5.2.4 Unofficial XBRL ........................................................................................................... 5-27
5.3 Preparing or Referencing Module and Segment Documents .......................................... 5-34
5.3.1 Module and Segment Naming ....................................................................................... 5-35
5.3.2 Types of Modules and Segments ................................................................................... 5-35
5.3.3 Maintaining Modules and Segments .............................................................................. 5-38
5.4 Document Types in EDGAR ........................................................................................... 5-42
5.4.1 Non-Public and Confidential ......................................................................................... 5-42
5.4.2 Exhibits .......................................................................................................................... 5-43
5.5 Common Problems .......................................................................................................... 5-43
6.
INTERACTIVE DATA .................................................................................................. 6-1
6.1 XBRL Overview................................................................................................................ 6-2
6.2 Supported Versions of XBRL Standard Taxonomies ....................................................... 6-3
6.3 Submission Syntax ............................................................................................................ 6-4
6.3.1 Use EDGARLink Online Submission Templates 1, 2, and 3 to attach XBRL Document
Types. ............................................................................................................................... 6-4
6.3.2 XBRL instance, schema, and linkbase documents must be attached to an EDGAR
submission using the EX-100.* or EX-101.* document types. ....................................... 6-5
6.3.3 XBRL document names must match {base}-{date}[_{suffix}].{extension}.................. 6-5
6.3.4 An XBRL document must not contain HTML character name references. .................... 6-6
6.3.5 The ampersand character must begin a valid XML predefined entity or numeric character
reference. .......................................................................................................................... 6-6
6.3.6 The URI content of the xlink:href attribute, the xsi:schemaLocation attribute and the
schemaLocation attribute must be relative and contain no forward slashes, or a
recognized external location of a standard taxonomy schema file, or a “#” followed by a
shorthand xpointer. .......................................................................................................... 6-6
6.3.7 XBRL document names are case sensitive. ..................................................................... 6-7
6.3.8 A submission must contain exactly one EX-100.INS or EX-101.INS. ........................... 6-7
6.3.9 Filers must use one of the taxonomies as specified on the SEC website as their standard
taxonomy.......................................................................................................................... 6-7
6.3.10 A submission must contain at least one company extension schema EX-100.SCH or
EX-101.SCH. ................................................................................................................... 6-7
6.3.11 Attribute xml:base must not appear in any Interactive Data document. .......................... 6-7
6.4 Semantics of Filings .......................................................................................................... 6-7
6.4.1 Since XBRL documents must be contained in an official SEC submission, EDGAR will
suspend any submission that contains only XBRL documents. ...................................... 6-7
6.4.2 EDGAR may truncate a submission if any rule in this manual is violated...................... 6-7
6.4.3 The XBRL instance documents in a submission must be XBRL 2.1 valid. Each instance
document in the filing is tested separately for XBRL 2.1 validity. In order to increase the
likelihood that XBRL documents within an EDGAR submission pass validation, filers are
encouraged to validate their XBRL documents for compliance with the XBRL 2.1
Specification prior to submission..................................................................................... 6-8
6.5 Syntax of Instances ............................................................................................................ 6-8
6.5.1 The scheme attribute of the xbrli:identifier element must be http://www.sec.gov/CIK. . 6-8
6.5.2 An xbrli:identifier element must have the CIK of the registrant as its content. .............. 6-8
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6.5.3 All xbrli:identifier elements in an instance must have identical content. ........................ 6-8
6.5.4 The xbrli:scenario element must not appear in any xbrli:context. ................................... 6-8
6.5.5 If an xbrli:segment element appears in a context, then its children must be one or more
xbrldi:explicitMember elements. ..................................................................................... 6-9
6.5.6 The content of xbrldi:explicitMember and xbrldi:measure is a QName. ........................ 6-9
6.5.7 An instance must not contain duplicate xbrli:context elements....................................... 6-9
6.5.8 Every xbrli:context element must appear in at least one contextRef attribute in the same
instance. ........................................................................................................................... 6-9
6.5.9 If the original HTML/ASCII document represents a reporting period of one quarter or
longer, then the same date must not appear as the content of both an xbrli:startDate and
an xbrli:endDate in an instance. ....................................................................................... 6-9
6.5.10 If the original HTML/ASCII document represents a reporting period of one quarter or
longer, then the same date must not appear in the content of an xbrli:startDate and an
xbrli:instant in the same instance. .................................................................................. 6-10
6.5.11 Element xbrli:xbrl must not have duplicate child xbrli:unit elements. .......................... 6-10
6.5.12 An instance must not have more than one fact having the same element name, equal
contextRef attributes, and if they are present, equal unitRef attributes and xml:lang
attributes, respectively. .................................................................................................. 6-10
6.5.13 The default value of the xml:lang attribute on non-numeric facts and on link:footnote is
„en-US‟. .......................................................................................................................... 6-11
6.5.14 An instance having a fact with non-nil content and the xml:lang attribute not starting with
“en” must also contain a fact using the same element and all other attributes with an
xml:lang attribute that begins with “en”. ....................................................................... 6-11
6.5.15 If the un-escaped content of a fact with base type us-types:textBlockItemType or a type
equal to or derived by restriction of the type „escapedItemType‟ in a standard taxonomy
schema namespace contains the “” or “>”, then the un-escaped content must contain only a sequence of text and XML
nodes. ............................................................................................................................. 6-11
6.5.16 Facts of type “text block” whose un-escaped content contains markup must satisfy the
content model of the BODY tag as defined in 5.2.2. ..................................................... 6-12
6.5.17 The xbrli:xbrl element must not have any facts with the precision attribute. ................ 6-12
6.5.18 A fact is defined to have a footnote if it has an id attribute and a link:footnoteArc to a
nonempty link:footnote in the same instance................................................................. 6-12
6.5.19 An instance covering a reporting period must contain a Required Context that is an
xbrli:context having xbrli:startDate equal to 00:00:00 on the first day of the reporting
period and xbrli:endDate equal to 24:00:00 on its last day. .......................................... 6-13
6.5.20 For each required Document Information element, an instance must contain a fact with
that element and a contextRef attribute referring to its Required Context. ................... 6-13
6.5.21 An instance must contain one non-empty fact for each required Entity Information
element, each with a contextRef attribute referring to a Required Context. The value of
an EntityPublicFloat fact in an instance will be 0 for an entity that has only public debt. 614
6.5.22 All other elements in the dei namespace are optional.................................................... 6-16
6.5.23 The contents of the dei:EntityCentralIndexKey fact in the Required Context must equal
the content of the xbrli:identifier element in that context. ............................................. 6-16

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6.5.24 The official Registrant Name that corresponds to the CIK of the xbrli:identifier text
content must be a case-insensitive prefix of the dei:EntityRegistrantName fact in the
Required Context. .......................................................................................................... 6-16
6.5.25 Elements with a type attribute equal to or a restriction of „domainItemType‟ in a standard
taxonomy schema target namespace must not appear as facts in an instance. .............. 6-16
6.5.26 An instance with dei:DocumentType of 10-K, 10-Q, 20-F, or 40-F must have at least one
dei:EntityCommonStockSharesOutstanding fact for each class of stock outstanding. . 6-17
6.5.27 A link:footnoteLink element must have no children other than link:loc, link:footnote, and
link:footnoteArc. ............................................................................................................ 6-17
6.5.28 The xlink:role attribute of a link:footnote element must be defined in the XBRL
Specification 2.1. ........................................................................................................... 6-17
6.5.29 The xlink:role attribute of a link:loc element must be empty, or defined in the XBRL
Specification 2.1. ........................................................................................................... 6-17
6.5.30 The xlink:arcrole attribute of a link:footnoteArc element must be defined in the XBRL
Specification 2.1 or a standard taxonomy schema. ........................................................ 6-17
6.5.31 Reserved. ........................................................................................................................ 6-17
6.5.32 A link:footnoteLink link:loc xlink:href attribute must start with the sharp sign “#”..... 6-17
6.5.33 Every nonempty link:footnote element must be linked to at least one fact. .................. 6-17
6.5.34 The content of a link:footnote element must satisfy the content model of the BODY tag
as defined in 5.2.2. ......................................................................................................... 6-18
6.5.35 If a standard numeric data type registry namespace is in the DTS of an instance, then the
value of each „unitRef‟ attribute on each fact of a type in that registry must refer to a unit
declaration consistent with the data type of that fact, where consistency is defined by that
registry. .......................................................................................................................... 6-18
6.6 Semantics of Instances .................................................................................................... 6-19
6.6.1 In an instance reporting a fiscal year, non-numeric facts containing text about any portion
of that or a prior year must have a contextRef attribute to an xbrli:context for the
reporting period year. ..................................................................................................... 6-19
6.6.2 In an instance reporting a fiscal year-to-date, the non-numeric facts containing text about
any portion of the year-to-date or prior year must have a contextRef attribute to an
xbrli:context representing the year-to-date. ................................................................... 6-19
6.6.3 Facts about a registrant must have an xbrli:context element in the default legal entity,
except for facts that apply only to a reportable segment or a subsidiary with separate
reporting obligations to the Commission. ...................................................................... 6-19
6.6.4 If facts about a Consolidated Entity and one or more of its subsidiaries, each with
separate reporting obligations to the Commission, appear in a single instance, it is a
consolidating instance. ................................................................................................... 6-19
6.6.5 The contexts for facts about entities other than the Consolidated Entity must have
xbrli:explicit Member with a dimension attribute equal to dei:LegalEntityAxis and
distinct values................................................................................................................. 6-20
6.6.6 Facts in a consolidating instance with a context that names an entity with subsidiaries,
applies collectively to subsidiaries within that subset. .................................................. 6-21
6.6.7 In a consolidating instance, facts that apply only to the parent company and not to any
specific subsidiaries must have contexts whose xbrldi:explicitMember elements have a
dimension attribute of dei:LegalEntityAxis and value us-gaap:ParentCompanyMember. 622
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6.6.8 In a consolidating instance, facts that apply only to eliminations between subsidiaries
must have contexts whose xbrldi:explicitMember elements have a dimension attribute of
dei:LegalEntityAxis and value us-gaap:ConsolidationEliminationsMember. ............... 6-22
6.6.9 Facts that apply to all classes of stock in a submission must have an xbrli:context element
without a dimension attribute equal to us-gaap:StatementClassOfStockAxis. .............. 6-22
6.6.10 An instance containing facts that are only specific to distinct stock classes in a statement
must distinguish those facts using xbrli:context elements whose xbrldi:explicitMember
elements have a dimension attribute of us-gaap:StatementClassOfStockAxis.............. 6-22
6.6.11 An instance containing multiple reports about the same entity for the same periods under
different reporting assumptions must distinguish the facts in different reports using
xbrli:context elements whose xbrldi:explicitMember elements have a dimension attribute
of us-gaap:StatementScenarioAxis. ............................................................................... 6-23
6.6.12 An instance must contain a fact for each combination of line item and period that appears
on the face of the financial statements of the corresponding official HTML/ASCII
document. ....................................................................................................................... 6-23
6.6.13 The facts representing a line item that appears on the face of the financial statements of
the corresponding official HTML/ASCII document must use the same element in
different periods. ............................................................................................................ 6-23
6.6.14 An instance must contain a fact for each amount disclosed parenthetically in line items
that appears on the face of the financial statements of the corresponding official
HTML/ASCII document. ............................................................................................... 6-23
6.6.15 The xsi:nil="true" attribute must be used only to convey a value that is different from
both “zero” and different from not reporting the fact at all, or to identify a fact detailed
only by a link:footnote. .................................................................................................. 6-24
6.6.16 An instance must contain facts containing each complete footnote and each required
schedule (as set forth in Article 12 of Regulation S-X) of the corresponding official
HTML/ASCII document, as a single block of text. ....................................................... 6-24
6.6.17 An instance must not contain facts that do not appear in the corresponding official
HTML/ASCII document. ............................................................................................... 6-25
6.6.18 Page headers and footers appearing in an official HTML/ASCII document must not
appear in any of the facts or link:footnote elements of an instance. .............................. 6-25
6.6.19 For each significant accounting policy within the accounting policies footnote of the
corresponding official HTML/ASCII document, an instance must contain a “level 2” fact
containing the policy as a block of text. ........................................................................ 6-26
6.6.20 An instance must contain each table within each footnote in the corresponding official
HTML/ASCII document as a separate “level 3” fact block of text. .............................. 6-26
6.6.21 Reserved. ........................................................................................................................ 6-26
6.6.22 An instance must contain separately each monetary value, percentage, and number in
each footnote in the corresponding official HTML/ASCII document, as a “level 4” fact. 626
6.6.23 An element used in numeric facts representing amounts must have an xbrli:periodType
attribute that is the same as the amounts reported. ........................................................ 6-27
6.6.24 If an element used in numeric facts representing amounts in one or more periods has a
definition, then the scope of that definition must include the material amounts reported
for that line item in the corresponding official HTML/ASCII document. ..................... 6-27

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6.6.25 An element must not be used in numeric facts representing amounts of a line item in
different periods if it has a definition that explicitly excludes one or more of the material
amounts in the corresponding official HTML/ASCII document. .................................. 6-27
6.6.26 When there is a choice among different elements that have definitions consistent with a
set of facts in one or more periods, use the element with the narrowest definition. ...... 6-28
6.6.27 If there is a choice among different elements whose type attribute is consistent with a set
of facts in one or more periods, use the element with the most specific type attribute. 6-28
6.6.28 When there is a choice among different elements having distinct link:reference elements
in a standard taxonomy, use the element with the most specific reference. .................. 6-28
6.6.29 When choosing the most appropriate element for facts in one or more periods, the
element‟s xbrli:periodType attribute takes precedence over the type attribute, which takes
precedence over the element‟s documentation string if present, which in turn takes
precedence over the label string, which in turn takes precedence over link:reference
elements. ........................................................................................................................ 6-28
6.6.30 Invert the sign of a numeric fact whose element has an xbrli:balance value that is
inconsistent with the reporting concept being reported. ................................................ 6-29
6.6.31 The content of a numeric fact never has a scale factor. ................................................. 6-29
6.6.32 The value of the decimals attribute of a fact must correspond to the accuracy of the
corresponding amount as reported in the official HTML/ASCII document. ................. 6-29
6.6.33 Do not resolve calculation inconsistencies by inserting digits that do not appear in the
official HTML/ASCII document. .................................................................................. 6-30
6.6.34 Do not define or use units that imply a scale factor on a currency. ............................... 6-30
6.6.35 Each unit must appear with only one implicit scale factor per instance. ....................... 6-31
6.6.36 If a fact whose element type attribute equals „us-types:dateString‟ or a restriction of it
refers to a specific date, then it must be an ISO 8601 format date. ............................... 6-31
6.6.37 If a fact whose element type attribute is „us-types:durationString‟ or a restriction of it
refers to a specific length of time, then it must be an ISO 8601 format duration. ......... 6-32
6.6.38 If a fact whose element type attribute is „us-types:periodString‟ or a restriction of it refers
to a specific calendar period, then it must be an ISO 8601 format period. .................... 6-32
6.6.39 Text that is shown in the official HTML/ASCII document at the bottom of a page on the
face of the financials preceded by a superscript must appear in the corresponding instance
as the text of a link:footnote element. ............................................................................ 6-32
6.6.40 Distinct texts that are shown in the official HTML/ASCII document at the bottom of a
page on the face of the financials preceded by distinct superscripts must appear in the
corresponding instance as the text of distinct link:footnote elements. .......................... 6-32
6.7 Syntax of Company Extension Schemas ......................................................................... 6-32
6.7.1 The xsd:schema must not have an xsd:include element. ............................................... 6-32
6.7.2 If an xsd:import element has a namespace attribute equal to a standard taxonomy schema,
then its schemaLocation attribute must be the standard taxonomy assigned to that
namespace. ..................................................................................................................... 6-33
6.7.3 The authority part of an xsd:schema targetNamespace attribute must not equal the
authority part of a targetNamespace attribute of any standard taxonomy schema. ....... 6-33
6.7.4 The targetNamespace attribute must match http://{authority}/{versionDate} with
versionDate matching CCYYMMDD. .......................................................................... 6-33
6.7.5 The targetNamespace attribute must be a valid URI with an {authority} that is either a
domain name controlled by the publisher of the schema, a domain name controlled by the
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registrant, or if neither exists, then a mnemonic name for the registrant such as its ticker
symbol. ........................................................................................................................... 6-33
6.7.6 The targetNamespace attribute must be a valid URI with a {versionDate} matching
CCYYMMDD that identifies the release date of the schema. ....................................... 6-33
6.7.7 Element xsd:schema must bind a Recommended Namespace Prefix for the
targetNamespace attribute that does not contain the underscore character. .................. 6-34
6.7.8 Element xsd:schema must not contain any occurrences of “embedded” linkbases. ...... 6-34
6.7.9 The roleURI attribute of a link:roleType element must begin with the same {scheme} and
{authority} as the targetNamespace attribute. ............................................................... 6-34
6.7.10 A DTS must not contain more than one link:roleType element with equal values of the
roleURI attribute. ........................................................................................................... 6-34
6.7.11 A link:roleType declaration with link:usedOn containing link:presentationLink,
link:definitionLink or link:calculationLink must also have a link:usedOn for the other
two.................................................................................................................................. 6-34
6.7.12 A link:roleType element must contain a link:definition child element whose content will
communicate the title of the financial statement section, the level of facts in the instance
that a presentation relationship in the base set of that role would display, and sort
alphanumerically into the order that statements and footnotes appear in the official
HTML/ASCII document. ............................................................................................... 6-35
6.7.13 The arcroleURI attribute of a link:arcroleType element must begin with the same
{scheme} and {authority} parts as the targetNamespace attribute. ............................... 6-37
6.7.14 A DTS must not contain more than one link:arcroleType element with equal values of the
arcroleURI attribute. ...................................................................................................... 6-37
6.7.15 A link:arcroleType element must have a nonempty link:definition. ............................. 6-37
6.7.16 The name attribute of an xsd:element must not equal any xsd:element name attribute in a
standard taxonomy schema that appears in the same instance DTS. ............................. 6-37
6.7.17 The id attribute of an xsd:element must consist of the Recommended Namespace Prefix
of the element namespace, followed by one underscore, followed by its name attribute. . 637
6.7.18 The nillable attribute value of an xsd:element must equal „true‟................................... 6-37
6.7.19 The xsd:element substitutionGroup attribute must not be a member of a substitution
group with head „xbrli:tuple‟. ........................................................................................ 6-37
6.7.20 An xsd:element must not have an xbrldt:typedDomainRef attribute............................. 6-37
6.7.21 If the abstract attribute of xsd:element is „true‟, then the xbrli:periodType attribute must
be „duration‟. .................................................................................................................. 6-37
6.7.22 Reserved. ........................................................................................................................ 6-37
6.7.23 The xsd:element substitutionGroup attribute must equal „xbrldt:dimensionItem‟ if and
only if the name attribute ends with „Axis‟. .................................................................. 6-38
6.7.24 The xsd:element name attribute must end with „Table‟ if and only if substitutionGroup
attribute equals „xbrldt:hypercubeItem‟. ........................................................................ 6-38
6.7.25 If the xsd:element substitutionGroup attribute is not equal to „xbrldt:dimensionItem‟ or
equal to „xbrldt:hypercubeItem‟ then it must equal „xbrli:item‟. .................................. 6-38
6.7.26 If xsd:element name attribute ends with „LineItems‟ then the abstract attribute must equal
„true‟. .............................................................................................................................. 6-38

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6.7.27 The xsd:element name attribute must end with „Domain‟ or „Member‟ if and only if the
type attribute equals or is derived from „domainItemType‟ in a standard taxonomy
schema target namespace. .............................................................................................. 6-38
6.7.28 If xsd:element type attribute equals or is derived from „domainItemType‟ in a standard
taxonomy schema target namespace then the xbrli:periodType attribute must equal
„duration‟........................................................................................................................ 6-38
6.8 Semantics of Company Extension Schemas ................................................................... 6-38
6.8.1 A schema that changes any xsd:element or type declarations or changes any relationships
in its DTS from an earlier version of itself in such a way as to invalidate earlier instances
must use only the {versionDate} portion of its targetNamespace attribute to identify the
new version. ................................................................................................................... 6-38
6.8.2 A schema must contain at least one link:linkbaseRef element for each of the linkbases
that are required for the submission to be valid. ............................................................ 6-39
6.8.3 Do not define link:arcroleType (or link:roleType for a resource-type element) that means
the same as arc roles or resource roles that are already defined in the XBRL 2.1
specification or in a standard taxonomy. ....................................................................... 6-39
6.8.4 Wherever possible, registrants should assign a standard and other labels for an element
defined in a standard taxonomy schema in preference to declaring a new element in a
company schema. ........................................................................................................... 6-40
6.8.5 The name attribute of an xsd:element should consist of capitalized words corresponding
to the standard label, a convention called LC3. ............................................................. 6-40
6.8.6 Do not include company-specific or period-specific information in an xsd:element name
attribute for elements having other than type „domainItem Type‟. ............................... 6-41
6.8.7 An xsd:element name attribute should be consistent with its standard label and follow a
style similar to the convention used in standard taxonomies. ........................................ 6-41
6.8.8 Declare an xsd:element with an abstract attribute equal to „true‟ if an appropriate abstract
element does not exist, and use the presentation linkbase to have facts rendered
sequentially. ................................................................................................................... 6-42
6.8.9 Declare an xsd:element with a type attribute equal to „xbrli:monetaryItemType‟ if the
standard taxonomy schema contains only monetary type elements that, in the judgment of
the registrant, are too broadly defined for a given line item. ......................................... 6-42
6.8.10 Do not declare different elements for different values of the same underlying line item. 642
6.8.11 An xsd:element with a type attribute equal to „xbrli:monetaryItemType‟ must have an
xbrli:balance attribute if it appears on a statement of income or balance sheet. ........... 6-43
6.8.12 An xsd:element with a type attribute equal to „xbrli:monetaryItemType‟ has an
xbrli:periodType attribute equal to „instant‟ if and only if it represents beginning and end
of period balances, as distinct to balances defined over a period of time. ..................... 6-43
6.8.13 An xsd:element with a type attribute equal to „xbrli:monetaryItemType‟ that represents
an adjustment must have a xbrli:periodType attribute equal to „duration‟. ................... 6-43
6.8.14 A ratio of values that would have the same unitRef attribute must be declared as an
xsd:element with a type attribute equal to or derived from „percentItemType‟ in a
standard taxonomy schema target namespace, even though its value is not scaled by 100.
........................................................................................................................................ 6-43

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6.8.15 A ratio of values for which its facts would have different values for the unitRef attribute
and a denominator other than xbrli:shares must be declared as an xsd:element with a type
attribute equal to xbrli:pureItemType. ........................................................................... 6-44
6.8.16 If facts in an instance are dates, but no xsd:element in a standard taxonomy with a type
attribute equal to „xbrli:dateItemType‟ is appropriate, declare an xsd:element with a type
attribute equal to „xbrli:dateItemType‟. ......................................................................... 6-44
6.8.17 If facts in an instance are a mixture of text, date, numbers or other values, and no
xsd:element in a standard taxonomy with a type attribute equal to „xbrli:stringItemType‟
is appropriate, then declare an xsd:element with a type attribute equal to
„xbrli:stringItemType‟.................................................................................................... 6-44
6.8.18 If no standard taxonomy schema contains domain member elements specific enough to
distinguish between facts needing distinct values of „xbrldi:explicitMember‟, then declare
an xsd:element with a type attribute equal to or derived from „domainItemType‟ in a
standard taxonomy schema target namespace. .............................................................. 6-44
6.8.19 Do not declare an xsd:element with a type attribute equal to or derived from
„domainItemType‟ in a standard taxonomy schema target namespace as an explicit
“total” domain member. ................................................................................................. 6-45
6.8.20 For value and narrative facts, declare an xsd:element with a substitutionGroup attribute
equal to „xbrldt:dimensionItem‟ if a standard taxonomy schema contains no Axis element
for a reporting axis appearing in the original HTML/ASCII document. ....................... 6-45
6.8.21 Declare an xsd:element with a substitutionGroup attribute equal to
„xbrldt:hypercubeItem‟ if a standard taxonomy schema contains no Table elements
appropriate to the reporting axis needed. ....................................................................... 6-46
6.8.22 Reserved. ........................................................................................................................ 6-46
6.8.23 Define an xsd:element with a type attribute equal to „us-types:textBlockItemType‟ or a
type equal to or derived by restriction from the type „escapedItemType‟ in a standard
taxonomy schema namespace if the standard taxonomy schema contains only text block
type elements that, in the judgment of the registrant, are too broadly defined for a
footnote or table. ............................................................................................................ 6-46
6.9 Syntax of all Linkbases ................................................................................................... 6-46
6.9.1 A link:linkbase must be XML Linking Language (XLink) 1.0 valid. ........................... 6-46
6.9.2 An effective relationship exists between a target and source element when there is an
element with an xlink:type attribute of 'arc' and a use attribute of “optional" that has a
higher value of the priority attribute than any equivalent relationship in its base set. .. 6-47
6.9.3 A link:linkbase in a submission must have no ineffectual relationships. ...................... 6-47
6.9.4 The xlink:role attribute of an element with a type='extended' attribute or a type='resource'
attribute must be present and must not be empty. .......................................................... 6-47
6.9.5 The xlink:role attribute of an element with an xlink:type attribute of „resource‟ must be
present and must be defined in XBRL 2.1 or a standard taxonomy. ............................. 6-47
6.9.6 The text preceding a sharp sign „#‟ in an xlink:href attribute of link:arcroleRef must be a
standard taxonomy. ........................................................................................................ 6-47
6.9.7 All extended link elements in a single linkbase must have the same namespace and local
name. .............................................................................................................................. 6-47
6.9.8 Arcs that are defined as equivalent in XBRL 2.1 and having the same value for the use
attribute are duplicate relationships. .............................................................................. 6-47
6.9.9 The value of the priority attribute must be strictly less than 10..................................... 6-48
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6.10 Syntax of Label Linkbases .............................................................................................. 6-48
6.10.1 An element used in a fact or xbrldi:explicitMember in an instance must have an English
standard label in the DTS of that instance. .................................................................... 6-48
6.10.2 An element used in a fact or xbrldi:explicitMember in an instance must have at most one
label for any combination of the xlink:role attribute and the xml:lang attribute in the DTS
of that instance. .............................................................................................................. 6-48
6.10.3 If an element used in an instance is assigned a label in the DTS whose xml:lang attribute
is not “en-US”, then the DTS must also contain a link:label for the same element and all
other attributes with an xml:lang attribute equal to “en-US”. ....................................... 6-48
6.10.4 The DTS of an instance must have no distinct elements having the same English standard
label (xml:lang attribute equal to “en-US”). .................................................................. 6-48
6.10.5 A label linkbase must not have a definition for an element defined in a standard
taxonomy........................................................................................................................ 6-49
6.10.6 The ASCII text of link:label must be a string of fewer than 511 characters with no
consecutive XML whitespace characters and no occurrences of „

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Internet Hyperlinks appear underlined:
Home

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2.

QUICK GUIDE TO EDGAR FILING

2.1

EDGAR Filing Process

This section is designed for the novice filer to explain the filing process and some of the terms
that we will use throughout this manual. If you are familiar with EDGAR, then proceed to the
index to find your submission type.
A filer must use the EDGAR system when they have a filing obligation that requires an
electronic form. They can also choose to use an electronic form for certain form types that may
also be prepared in paper format. Increasingly, fewer forms are permitted via paper filing. All
rules regarding which forms must be submitted electronically are found in Regulation S-T,
General Rules and Regulations for Electronic Filings. A copy of this rule is available on the
SEC‟s Public Website at http://www.sec.gov/about/forms/regs-t.pdf.
The EDGAR system is comprised of a number of large computers that receive filings submitted
by entities. An entity is one that files with the SEC. Entities may be unique companies that make
Securities Act filings or individuals who make filings like Form 3 or 4. There are thousands of
filings submitted to the EDGAR system each day. The system processes the filings according to
rules defined by the SEC. Finally, if the documents are public, it transmits them to parties
outside the SEC. Since there is a single internal SEC system processing these filings, filers must
follow certain rules in preparing their filings so that they can be processed correctly.
Once you know the Code of Federal Regulations (CFR) Form Type/Schedule/Rule that you must
submit electronically as determined by the SEC Rules, you must determine the electronic
submission type. On the EDGAR system, the submission is the envelope for all of the content
you are sending in a single transmission. The submission type may tell the SEC and others
viewing the filing something about the filing itself. For example, a Form 15 can have submission
types of 15-12B, 15-12G, and 15-15D. The different submission types are used by filers who
have a filing obligation under different sections of the act. For example, the 15-12B filer would
have registered a class of securities under Section 12(b).
EDGAR filings may consist of a number of documents, both primary and secondary. The
primary document is the document that contains the information required by the SEC for the
CFR Form Type/Schedule/Rule being submitted. Examples of the primary document include
documents like the 10-Q, 8-K, S-1, N-8A, or POS AMI. Many times filers want or need to
supplement their primary document with other documents. These are called secondary
documents. Secondary documents most commonly include cover letters or correspondence,
although correspondence documents may be sent in as primary documents in a correspondence

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submission type. Sometimes filings can also include exhibits which have a number and/or letter
designator, whose content is defined by the SEC. These exhibits can include things like a
company charter, power of attorney, or underwriting agreements.
All primary and secondary documents must be in certain standard electronic formats to be
accepted by the EDGAR system. The EDGAR system accepts ASCII, HTML, or XML primary
documents. If you include graphics in your HTML document, then you must also include the .jpg
and .gif files that contain your graphics. Two other document formats can be used as unofficial
copies: PDF and XBRL. You must follow all of the rules outlined in this manual with regard to
formatting these documents regardless of the tool you use to prepare and transmit your
submission. Keep in mind that not all document formats are permitted for each tool.
2.1.1 Using EDGARLink 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 login to the
EDGAR Filing Website and indicate which form you would like to complete.
Once you have all of your documents prepared, you can assemble your EDGARLink Online
submission. Select the submission form type that you would like to file and you will be presented
with questions and fields that need to be completed. This data will be added to your submission
content and is commonly called the header or supplemental data.
EDGARLink Online allows you to indicate whether the submission should be considered a live
or test filing. A TEST filing allows you to make sure that the 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. Return copies can be retrieved from the EDGAR Filing
Website and the EDGAR OnlineForms/XML Website. Submission contact information may be
used by the Filer Support Branches or the SEC divisions if there is an issue with your filing.
Including this information allows us to get in touch with you quickly. Using the Notification
Information page of the submission, you may add multiple e-mail addresses where you would

When certain specific criteria are met, a PDF attachment may qualify as an official document. Please refer to
section 5.2.3 – Unofficial PDF for more information.

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like a notification message sent. Using other pages of the submissions, you may add secondary
documents and provide fee information. You may save your filing to your local computer. As a
final step, you must transmit the submission in the same Internet session.
2.1.2 EDGAR OnlineForms/XML Website
The EDGAR OnlineForms/XML Website tool is an Internet based online application. Filers can
create an Ownership form by entering primary document data and the header data in a single
session. You do not have to worry about the differences between the types of data or how it is
translated into the resulting XML document. You must login to the EDGAR OnlineForms/XML
Website and indicate which form you would like to complete. Answer all of the questions. All
filings assembled on this site are considered live, so please be careful as you enter information.
You will be given a number of chances to review and correct information before you send it to
the host system. Similar to EDGARLink Online submissions, you may include a number of email addresses for filing notifications. You may also request a return copy which provides you
with an exact copy of the submission after it has been processed. You can save the document
locally, you will not be able to retrieve the document to make corrections. As a final step, you
must transmit the submission in the same Internet session.
2.1.3 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
by CIK starting with one on the first business day of each year. It is important to use this number
when reviewing the status of your filing or consulting with SEC divisions.
After transmitting your submission, you may check on its status, review e-mail notifications, and
examine your return copy via the Internet using the EDGAR Websites. In addition, if requested,
you will receive messages via e-mail. The notification messages, which are identical to those you
can retrieve via the Internet, include both the status of the submission and detailed error
messages. EDGAR will either accept or suspend your filing. Acceptance means that the filing
meets all of the host processing rules and, if live, the filing will be disseminated. Suspended
means that the filing contains serious errors that you must correct. You can correct the errors and
resubmit the filing. A suspended filing will not be disseminated nor will fees be deducted from
your account.
When the EDGAR system has completed the processing of your submission, if it is live and
public, it will be transmitted electronically to a number of third parties. (There are some
individual documents that are considered non-public which will not be immediately
disseminated. They may be subsequently disseminated by the SEC if they meet certain criteria.)
Dissemination can often occur within seconds of your transmission. Private companies may post
your filing on their websites for public use of their subscribers. The filings are also posted on the
SEC‟s Public Website.

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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

Activity

1

Check that you have access codes for the
EDGAR system. If not, follow procedures in
the EDGAR Filer Manual, Volume I, General
Information, to obtain codes.

No info blank cell

2

Review your company data on EDGAR to
determine that it is up-to-date. If you are an
Investment Company with existing series and
classes (contracts), review your series and
class information to insure that names, status
and ticker symbols are up-to-date before you
submit a filing. New series and classes
(contracts) are to be added via a filing.
Details are in the EDGAR Filer Manual,
Volume I, General Information.
Note: This data is used in creating header
data in some filings and filing data in other
types of filings. It is your responsibility to
keep your company information current.

No info blank cell

3

Determine the submission type you need to
file and then find it in the indexes in Chapter
3, INDEX TO FORMS.

No info blank cell

4

If your filing requires a fee, ensure that the
funds are available in your account. See
Chapter 4, FILING FEE INFORMATION.

No info blank cell

5

Create documents that will be attached to the
submission. See Chapter 5,
CONSTRUCTING ATTACHED
DOCUMENTS AND DOCUMENT TYPES.
Note: If you are using the EDGAR
OnlineForms/XML Website, you do not need
to create the primary document.

No info blank cell

EDGARLite
6

If you are using EDGARLite to assemble your
submission, download and/or install the tool
that you will need to assemble the
submission. (Note you do not need to
perform this step for OnlineForms or

No info blank cell

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Step

Activity

Completion

EDGARLink Online.) See Sections 8.2 What
is Microsoft InfoPath 2003, and 8.3,
Downloading and Installing Templates for
EDGARLite.

2.3

EDGARLite
7

Use the tool to create or assemble the
submission. (Note you do not need to
perform this step for OnlineForms or
EDGARLink Online.) See Sections 8.4,
Preparing your EDGARLite Submission,
through 8.5, Saving Your Filing for
EDGARLite.
REMEMBER TO ALWAYS VALIDATE
YOUR SUBMISSION!

No info blank cell

EDGARLink
Online 6 & 7

Access the EDGAR Filing Website, and
select EDGARLink Online Form Submission.
See Chapter 7 for completing an EDGARLink
Online Submission. Skip to step 11.

No info blank cell

OnlineForms
6&7

Access the EDGAR OnlineForms/XML
Website and enter your form data. See
Chapter 9 for details. Transmit after data
entry and verification. Skip to step 11.

No info blank cell

8

Transmit a test submission to the EDGAR
system. See Section 8.6, Transmitting XML
Submissions.

No info blank cell

9

Review your acceptance/suspense message
or return copy to determine if changes are
required. See Section 11.5, Submission
Information for instructions.

No info blank cell

10

Transmit a live submission to the EDGAR
system. Make sure that a live file is created
by having the live button clicked. See Section
8.6 Transmitting XML Submissions.

No info blank cell

11

Review your acceptance/suspense message.
If necessary, correct errors and file again.
See Section 11.5, Submission Information for
instructions on reviewing your
acceptance/suspense message.

No info blank cell

General Information for Filers

2.3.1 Hours of Operation
EDGAR accepts filings and changes to company information each business day, Monday
through Friday, from 6:00 a.m. to 10:00 p.m., Eastern Time. Transmissions started but not
completed by 10:00 p.m. Eastern Time may be canceled, and you may have to re-submit on the
next business day.

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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 browser for EDGARLink Online: Internet Explorer 7.0 or 8.0, or Firefox 3.5 or greater.
For other EDGAR Websites, we recommend that you use Netscape version 5.0 or later, or
Internet Explorer version 5.0 or later. The EDGAR Filing Website does not support Netscape
version 6.0. Both browsers comply with Secure Socket Layer (SSL) communications that you
will use to reach the EDGAR Filing Website, and are easy to obtain. Which browser you use is a
personal preference. This section covers some functions that are innate to browsers, how your
browser should be set up, and the differences between Netscape and IE. You should be aware
that there might be subtle differences if you are using IE or other versions of Netscape.

Firefox Menu Bar

Netscape Menu Bar

Internet Explorer Menu Bar
Figure 2-1: Browser Menu Bars
The browsers have very similar navigation functions: [Back], [Forward], [Stop], and [Reload]
buttons, Current Address Location fields, as well as buttons for performing other functions such
as printing and saving. The largest difference between the browsers is button appearances and
where to update the preference settings. For detailed information on your browser, see your
browser‟s user manual or help function.
The browser window works similarly to all windows, in that it can be maximized, minimized,
and sized. The default menu bar contains buttons that help you navigate the Internet; however,
these buttons do not necessarily help you navigate EDGAR. For the purposes of logging into
EDGAR, downloading files, submitting filings and company queries, or updating company
information, these buttons do not apply. Some of the functions you can use are Bookmark, to
mark the EDGAR Login page for easy accessibility; Back, to correct, add, or remove criteria
from a query; and Security, to turn on or off your security functions.

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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 must be filed electronically through the EDGAR Filer Management
Website and an accompanying manually signed and notarized authentication document must be
faxed to the Commission. If we do not receive your fax, we cannot accept your application.
Details of this process are covered in other sections of this manual. Once you have obtained your
access codes, you will be ready to login to EDGAR, download submission templates, transmit
submissions, run company queries, update your company information, or change your password
or CCC (CIK Confirmation Code).
2.3.5 Getting Help with EDGAR
For Procedural and Technical questions, contact Filer Support
You can reach our Filer Support Branches in the Divisions at (202) 551-8900. These offices
respond to general EDGAR questions like how to become a filer, the form ID process, how to
get to the Websites, how to update filer information, filing of forms, and header tags. Filer
Support is available each business day from 9:00 a.m. to 5:30 p.m. Eastern Time.
For general fee information, contact our Fee Account Services Branch in the Office of Financial
Management at (202) 551-8989.
For Substantive questions, contact your Division
For filing content, rule interpretations, filing date adjustments, and hardship exemption requests,
contact the division that reviews the filing, the Division of Corporation Finance or Investment
Management, during normal business hours 9:00 a.m. to 5:30 p.m., Eastern Time.
Division of Corporation Finance:
For help with filings reviewed by the Division of Corporation Finance, contact the Office
of Information Technology in the Division of Corporation Finance at (202) 551-3600.
Division of Trading and Markets
For help with short sale filings, contact the Office of Interpretation and Guidance in the
Division of Trading and Markets inquiry line: (202) 551-5777.
Division of Investment Management:
For help with Form 13-F, call the IM Chief Counsel inquiry line: (202) 551-6865.
For help with Form N-SAR or Form 24F-2, call the N-SAR/24F-2 inquiry line: (202)
551-6703.
For help with investment company filings (except Forms 13-F, N-SAR and 24F-2), call
the IM EDGAR inquiry line: (202) 551-6989.
For questions concerning post-acceptance corrections and withdrawals, first please read
our notice, “IM EDGAR Post-Acceptance Corrections” on the Information for EDGAR
Filers web page (http://www.sec.gov/info/edgar.shtml).

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For questions concerning series and classes (contracts), first read our notice, “Series and
Class (Contract) Notice and FAQ‟s,” on the Information for EDGAR Filers web page
(http://www.sec.gov/info/edgar.shtml).
2.4

EDGAR Gateway and Websites

The SEC maintains a number of websites and URLs to support the filing process. As we have
developed more sites and URLs, it has become more complicated for filers to find the correct
location for any single activity. To alleviate this problem, we developed the EDGAR Gateway to
act as an interface between all EDGAR websites and URLs. By choosing the link that describes
what you want to do, you can connect to the correct resource to accomplish your task. You can
reach the EDGAR Gateway by using the following URL:
http://www.portal.edgarfiling.sec.gov
You can use links on this URL to access the websites or URLs. If you only remember one
EDGAR website, this is the one to remember. The other EDGAR websites and/or URLs as well
as their uses are as follows:
URL

Name

https://www.edgarfiling.sec.gov

EDGAR Filing Website

Prepare and transmit EDGARLink Online Form
filings
Prepare and transmit Form 13H filings
Updates of Entity Information
Filing Status and E-mail Notifications
Return Copy Retrieval
View the Fee Rate Table
EDGAR OnlineForms/XML
Website

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
Return Copy Retrieval
Download EDGARLite templates
https://www.filermanagement.edgarfiling.sec.gov/

EDGAR Filer Management
Website

Apply for EDGAR Access (New)
Generate Access Codes (New/Replacement)
Update Passphrase

EDGAR Filer Manual (Volume II)

2-8

August 2011

Convert Paper Only Filer to Electronic Filer
EDGAR Access for New Serial Companies
Download the Filer Manual
http://www.edgarcompany.sec.gov

EDGAR Company Database

Public Access to company information
SEC‟s Public Website

http://www.sec.gov
Access to filings
Information on Existing Rules
Information on Proposed Rules
Download the Filer Manual
Frequently Asked Questions
Download Filer-Constructed Technical
Specifications

Please note that there may be more than one URL or website to help you with a single task. For
example, there are two URLs where you can change entity data and download the Filer Manual.
Please be very careful in linking to the websites. Some are preceded by https: and you will not be
allowed access to a secure site without this designator. You should use the Favorites feature built
into Internet Explorer to store the URLs for the sites you use frequently.

August 2011

2-9

EDGAR Filer Manual (Volume II)

3.

INDEX TO FORMS

As a filer, you will first need to determine whether you must meet your filing obligation via
EDGAR. The SEC Rules, particularly Regulation S-T, General Rules and Regulations for
Electronic Filings, outline which filings are mandated as electronic. This means that they must be
filed on EDGAR unless there is a case for Temporary or Permanent Hardship. (The rules for
each form and hardship exemptions may differ, so please see the regulation for specific
information.) Once you determine the form you need to file is electronic, then you need to
identify the submission type to use. For each submission type, there are specific tools that you
can use.
As the EDGAR system has evolved using new technologies, tools have been added, changed,
and sometimes updated. There is no longer a single tool for preparing an EDGAR submission.
Your guide to the tools is this index. The first index allows you to lookup EDGAR electronic
submission types easily if all you know is the submission form type. Included in the last two
columns is detailed information about the tools that are used to create and/or assemble the filing.
The second index is easiest to use if you are more comfortable looking up your submission type
by Act.
Before using the indexes, it is important to understand the difference between the Code of
Federal Regulations (CFR) Form/Schedule/Rule column reference and the EDGAR Submission
Type column. The index entries under the CFR Form/Schedule/Rule column refer to the titles of
the actual Form, Schedule or Rule named in the CFR. The Submission Type refers to Form
variations filers use on the electronic filing system to fulfill their filing obligation. For example,
the paper Form 15 is implemented on EDGAR as a number of different submission types
including: 15-12B, 15-12G, and 15-15D. The last three digits represent the sections of the 34 Act
under which the filer is registered.
Using either Index, find the submission type, check that the description of the form matches your
understanding of the purpose of the form, and identify the tool that should be used to create the
form. The options in this column are EDGARLink Online, EDGARLite, and the corresponding
templates and OnlineForms. There is a section in this manual describing in detail each of these
tools. Chapter 7, PREPARING AND TRANSMITTING EDGARLINK ONLINE
SUBMISSIONS, describes EDGARLink Online. Chapter 8, PREPARING AND
TRANSMITTING EDGARLITE SUBMISSIONS, describes EDGARLite. Chapter 9,
PREPARING AND TRANSMITTING ONLINE SUBMISSIONS, describes online submissions
using the EDGAR OnlineForms/XML Website. The column entitled Filer-Constructed Technical
Specifications should only be used by filers who want to create their submissions without the use
of EDGAR tools. These Technical Specifications are available on the SEC‟s Public Website. The
Technical Specifications are delivered separately and are not part of the Filer Manual.
Note: In Section 3.1 for simplicity we include both the initial form and the associated
amendment in the Submission Type column.

August 2011

3-1

EDGAR Filer Manual (Volume II)

3.1

Alpha/Numeric

Submission Type

Description

Tool/
Template
Number

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 EDGARLink
Regulation E.
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 sections 13 or
15(d)

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

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

EDGAR Filer Manual (Volume II)

3-2

FilerConstructed
Form Spec.

August 2011

Submission Type

11-KT, 11-KT/A

Description

FilerConstructed
Form Spec.

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

13F-HR, 13F-HR/A Initial Quarterly Form 13F Holdings report filed
by institutional managers

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

13F-NT, 13F-NT/A

Initial Quarterly Form 13F Notice Report filed
by institutional managers

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

13H, 13H-Q, 13HA, 13H-I, 13H-R,
13H-T

Large Trader Registration Information
Required of Large Traders Pursuant to the
Securities Exchange Act of 1934 and Rule[s]
13h-1 Thereunder. Initial Filing (13H),
Amended Filing (13H-Q), Annual Filing (13HA), Inactive Status (13H-I), Reactivated Status
(13H-R), and Termination Filing (13H-T)

EDGARLink
Online

N/A

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

15F-12G,
15F12G/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,
15F15D/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

August 2011

Transition report pursuant to rule 13a-10 or
15d-10

Tool/
Template
Number

3-3

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/
Template
Number

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 pursuant to sections 13 or 15(d)

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

20FR12B,
20FR12B/A

Form for initial registration of a class of
EDGARLink
securities of foreign private issuers pursuant to Online
section 12(b)

EDGARLink
Online XML
Technical
Specification

20FR12G,
20FR12G/A

Form for initial registration of a class of
EDGARLink
securities of foreign private issuers pursuant to Online
section 12(g)

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

OnlineForms

Ownership XML
Technical
Specification

Initial statement of beneficial ownership of
securities

EDGAR Filer Manual (Volume II)

3-4

FilerConstructed
Form Spec.

August 2011

Submission Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

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

Ownership XML
Technical
Specification

40-6B, 40-6B/A

Application under the Investment Company Act EDGARLink
by an 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
Online
management 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
Online
management investment companies filed
pursuant to Rule 17f-2 of the Investment
Company Act of 1940 filed on Form N-17F-2

EDGARLink
Online XML
Technical
Specification

40-17G, 40-17G/A

Fidelity bond filed pursuant to Rule 17g1(g)(1)
of the Investment Company Act of 1940

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

40-17GCS,
4017GCS/A

Filings of claim or settlement pursuant to rule
17g-1(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 a court against an investment
company or an affiliate thereof pursuant to
Section 33 of the Investment Company Act of
1940

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

40-8B25

Document or report

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

August 2011

3-5

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

40-8F-2, 40-8F-2/A Initial application for deregistration 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

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

EDGAR Filer Manual (Volume II)

3-6

August 2011

Submission Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

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

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
EDGARLink
Securities Act Rule 485(a) (this filing cannot be Online
submitted as a 1940 Act only filing)

EDGARLink
Online XML
Technical
Specification

485BPOS

Post-effective amendment filed pursuant to
EDGARLink
Securities Act Rule 485(b) (this filing cannot be Online
submitted as a 1940 Act only filing)

EDGARLink
Online XML
Technical
Specification

485BXT

Post-effective amendment filed pursuant to
EDGARLink
Securities Act Rule 485(b)(1)(iii) to designate a Online
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 XML
Technical
Specification

486APOS

Post-effective amendment to filing filed
pursuant to Securities Act Rule 486(a)

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

486BPOS

Post-effective amendment to filing filed
pursuant to Securities Act Rule 486(b)

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

487

Pre-effective pricing amendment filed pursuant EDGARLink
to Securities Act Rule 487
Online

EDGARLink
Online XML
Technical
Specification

497

Definitive materials filed under paragraph (a),
EDGARLink
(b), (c), (d), (e) or (f) of Securities Act Rule 497 Online

EDGARLink
Online XML
Technical
Specification

August 2011

3-7

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

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

497K

Summary Prospectus for certain open-end
management investment companies filed
pursuant to Securities Act Rule 497(k)
Cannot be used until March 31, 2009.

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

497K1

Profiles for certain open-end management
investment companies filed pursuant to
Securities Act Rule 497(k)(1)(i)

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

OnlineForms

Ownership XML
Technical
Specification

Will no longer be accepted after close of
Business, (5:30 PM EST) on March 30, 2009.
497K2

Profiles for certain open-end management
investment companies filed pursuant to
Securities Act Rule 497(k)(1)(ii)
Will no longer be accepted after close of
Business, (5:30 PM EST) on March 30, 2009.

497K3A

Profiles for certain open-end management
investment companies filed pursuant to
Securities Act Rule 497(k)(1)(iii)(A)
Will no longer be accepted after close of
business (5:30 PM EST) on March 30, 2009.

497K3B

Profiles for certain open-end management
investment companies filed pursuant to
Securities Act Rule 497(k)(1)(iii)(B)
Will no longer be accepted after close of
business (5:30 PM EST) on March 30, 2009.

5, 5/A

Annual statement of changes in beneficial
ownership of securities

EDGAR Filer Manual (Volume II)

3-8

August 2011

Submission Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

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
securities on a national securities exchange
pursuant to section 12(b)

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

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,
ABS 15G/A

Asset-backed securities report pursuant to
Section 15G

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

ANNLRPT,
ANNLRPT/A

Periodic Development Bank filing, submitted
annually

EDGARLink
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

August 2011

3-9

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

AW

Withdrawal of amendment to a registration
statement filed under the Securities Act

EDGARLink
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

CB, CB/A

Notification form filed in connection with certain EDGARLink
tender offers, business combinations and
Online
rights offerings, in which the subject company
is a foreign private issuer of which less than
10% of its securities are held by U.S. persons

EDGARLink
Online XML
Technical
Specification

CORRESP

A correspondence can be sent as a document EDGARLink
with another submission type or can be sent as Online
a separate submission.

EDGARLink
Online XML
Technical
Specification

D, D/A

Official notice of an offering of securities that is Online Forms N/A
made without registration under the Securities
Act in reliance on an exemption provided by
Regulation D and Section 4(6) under the Act.

DEF 14A

Definitive proxy statements

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

DEF 14C

Definitive information statements

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, EDGARLink
acquisition, or disposition
Online

EDGARLink
Online XML
Technical
Specification

EDGAR Filer Manual (Volume II)

3-10

August 2011

Submission Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

DEFM14C

Definitive information statement relating to
merger or acquisition

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

DEFN14A

Definitive proxy statement filed by non
management

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

DEFR14A

Definitive revised proxy soliciting materials

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

DEFR14C

Definitive revised information statement
materials

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

DEL AM

Separately filed delaying amendment under
Securities Act Rule 473 to delay effectiveness
of a 1933 Act registration statement

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

DFAN14A

Definitive additional proxy soliciting materials
filed by non-management including Rule
14(a)(12) material

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

DFRN14A

Revised definitive proxy statement filed by
non-management

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

DSTRBRPT,
DSTRBRPT/A

Distribution of primary obligations
Development Bank report

EDGARLink
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

August 2011

3-11

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 well-known seasoned issuers

EDGARLink
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
EDGARLink
462(b) to add securities to a prior related
Online
effective registration statement filed on Form F
3

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
EDGARLink
462(b) to add securities to a prior related
Online
effective registration statement filed on Form F
4

EDGARLink
Online XML
Technical
Specification

F-6 POS

Post-effective amendment to a F-6EF
registration

EDGARLink
Online XML
Technical
Specification

EDGAR Filer Manual (Volume II)

3-12

EDGARLink
Online

August 2011

Submission Type

Description

Tool/
Template
Number

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 to be issued in exchange offers or a
business combination under the Securities Act
of 1933

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

F-80POS

Post-effective amendment to a F-80
registration

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

F-9 POS

Post-effective amendment to a F-9EF
registration

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

F-9, F-9/A

Registration of securities of certain investment
grade debt or investment grade preferred
securities of certain Canadian issuers under
the Securities Act of 1933

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

F-9EF

Auto effective registration of securities of
certain investment grade debt or investment
grade preferred securities of certain Canadian
issuers under the Securities Act of 1933

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

August 2011

3-13

FilerConstructed
Form Spec.

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/
Template
Number

F-N, F-N/A

Notification of the appointment of an agent for
service by certain foreign institutions

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

FWP

Filing under Securities Act Rules 163/433 of
free writing prospectuses

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

F-X, F-X/A

For appointment of agent for service of
process by issuers registering securities

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

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

N-14MEF

A new registration statement filed on Form
EDGARLink
N14 by closed end investment companies filed Online
under Securities Act Rule 462(b) of up to an
additional 20% of securities for an offering that
was registered on Form N-14

EDGARLink
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 EDGARLink
intention to call or redeem their own securities Online
under Investment Company Act Rule 23c-2

EDGARLink
Online XML
Technical
Specification

EDGAR Filer Manual (Volume II)

3-14

FilerConstructed
Form Spec.

August 2011

Submission Type

Description

Tool/
Template
Number

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-27D-1

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

N-2MEF

A new registration statement on Form N-2 filed EDGARLink
under Securities Act Rule 462(b) by closedOnline
end investment companies of up to an
additional 20% of securities for an offering that
was registered on Form N-2

EDGARLink
Online XML
Technical
Specification

N-3, N-3/A

Initial registration statement on Form N-3 for
separate accounts (management investment
companies)

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

N-30B-2

Periodic and interim reports mailed to
investment company shareholders (other than
annual and semi-annual 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 companies

EDGARLink
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

August 2011

3-15

FilerConstructed
Form Spec.

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/
Template
Number

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
EDGARLink
companies to elect to be subject to Sections
Online
55 through 65 of the 1940 Act filed on Form N6F

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 EDGARLink
trusts filed on Form N-8B-2
Online

EDGARLink
Online XML
Technical
Specification

N-8B-3, N-8B-3/A

Initial registration statement for periodic
payment plans filed on Form N-8B-3

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

N-8B-4, N-8B-4/A

Initial registration statement for face-amount
certificate companies filed on Form N-8B-4

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

N-8F, N-8F/A

Application for deregistration made on Form N- EDGARLink
8F
Online

EDGARLink
Online XML
Technical
Specification

N-CSR, N-CSR/A

Certified annual shareholder report of
EDGARLink
registered management investment companies Online
filed on Form N-CSR

EDGARLink
Online XML
Technical
Specification

N-CSRS, NCSRS/A

Certified semi-annual shareholder report of
EDGARLink
registered management investment companies Online
filed on Form N-CSR

EDGARLink
Online XML
Technical
Specification

N-MFP, N-MFP/A

Monthly Schedule of Portfolio Holdings of
Money Market Funds

N-MFP Technical
Specification

EDGAR Filer Manual (Volume II)

3-16

N/A

FilerConstructed
Form Spec.

August 2011

Submission Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

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-PXCR/A

Annual Form N-PX Combination Report filed
by institutional managers

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

N-PX-FM, N-PXFM/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-PXNT/A

Annual Form N-PX Notice filed by institutional
managers

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

N-PX-VR, N-PXVR/A

Annual Form N-PX Voting Report filed by
institutional managers

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

N-Q, N-Q/A

Quarterly Schedule of Portfolio Holdings of
EDGARLink
Registered Management Investment Company Online
filed on Form N-Q

EDGARLink
Online XML
Technical
Specification

NSAR-A, NSARA/A

Semi-annual report for management
companies filed on Form N-SAR

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

NSAR-AT,
NSARAT/A

Transitional semi-annual report filed on Form
N-SAR

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

NSAR-B, NSARB/A

Annual report for management companies filed EDGARLink
on Form N-SAR
Online

EDGARLink
Online XML
Technical
Specification

NSAR-BT,
NSARBT/A

Transitional annual report filed on Form NSAR

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

NSAR-U, NSARU/A

Annual report for unit investment trusts filed on EDGARLink
Form N-SAR
Online

EDGARLink
Online XML
Technical
Specification

August 2011

3-17

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

NT 10-K, NT 10K/A

Notice under Rule 12b25 of inability to timely
EDGARLink
file all or part of a Form 10-K, 10-KSB, or 10KT Online

EDGARLink
Online XML
Technical
Specification

NT 10-D, NT 10D/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 10Q/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 11K/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

NT 20-F, NT 20F/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-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 EDGARLink
Act only or under both the 1933 and 1940 Acts Online
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 XML
Technical
Specification

POS AM

Post-effective amendment to a registration
statement that is not immediately effective
upon filing

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

POS AMI

Post-effective amendment (for filings made
under the 1940 Act only)

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

EDGAR Filer Manual (Volume II)

3-18

August 2011

Submission Type

Description

Tool/
Template
Number

POSASR

Post-effective Amendment to an automatic
shelf registration statement on Form S-3ASR
or Form F-3ASR

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 filed under Rule 462(c)

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

PRE 14A

Preliminary proxy statement not related to a
contested matter or merger/acquisition

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

PRE 14C

Preliminary information statement not related
to a contested matter or merger/acquisition

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

PREC14A

Preliminary proxy statement in connection with EDGARLink
contested solicitations
Online

EDGARLink
Online XML
Technical
Specification

PREC14C

Preliminary information statements - contested EDGARLink
solicitations
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 or acquisition

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

PREN14A

Preliminary proxy statement filed by nonmanagement

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

August 2011

3-19

FilerConstructed
Form Spec.

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/
Template
Number

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
non-management

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

PX14A6G

Notice of exempt solicitation

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

PX14A6N

Notice of exempt solicitation for the purpose of EDGARLink
determining whether to solicit proxies,
Online
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 XML
Technical
Specification

RTLYRPT,
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
EDGARLink
462(b) to add securities to a prior related
Online
effective registration statement filed on Form S
11

EDGARLink
Online XML
Technical
Specification

EDGAR Filer Manual (Volume II)

3-20

FilerConstructed
Form Spec.

August 2011

Submission Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

S-1MEF

A new registration statement filed under Rule
EDGARLink
462(b) to add securities to a prior related
Online
effective registration statement filed on Form S
1

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 well-known seasoned issuers

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

S-3D

Automatically effective registration statement
for securities issued pursuant to dividend or
interest reinvestment plans

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

S-3DPOS

Post-effective amendment to a S-3D
registration statement

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

S-3MEF

A new registration statement filed under Rule
EDGARLink
462(b) to add securities to a prior related
Online
effective registration statement filed on Form S
3

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
EDGARLink
securities issued in connection with the
Online
formation of a bank or savings and loan holding
company in compliance with General
Instruction G

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 XML
Technical
Specification

August 2011

3-21

EDGARLink
Online

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

S-6, S-6/A

Initial registration statement filed on Form S-6
for unit investment trusts

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

S-8

Initial registration statement for securities to be EDGARLink
offered to employees pursuant to employee
Online
benefit plans

EDGARLink
Online XML
Technical
Specification

S-8 POS

Post-effective amendment to a S-8 registration EDGARLink
statement
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

S-BMEF

A new registration statement filed under Rule
EDGARLink
462(b) to add securities to a prior related
Online
effective registration statement filed on Form SB

EDGARLink
Online 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 13e-1

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

SC 13E3, SC
13E3/A

Schedule filed to report going private
transactions

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

SC 13G, SC 13G/A Schedule filed to report acquisition of
beneficial ownership of 5% or more of a class
of equity securities by passive investors and
certain institutions

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

SC 14D9,
SC 14D9/A

Tender offer solicitation / recommendation
statements filed under Rule 14d-9

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

SC 14F1, SC
14F1/A

Statement regarding change in majority of
directors pursuant to Rule 14f-1

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

EDGAR Filer Manual (Volume II)

3-22

August 2011

Submission Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

SC 14N, SC 14N/A Information filed by certain nominating
shareholders (pursuant to Section 240 14n-1)

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

SC 14N-S,
SC 14N-S/A

Solicitation in connection with the formation or
attempted formation of a Rule 14a-11
nominating shareholder group or solicitation in
connection with a Rule 14a-11 nomination

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

SC TO-C

Written communication relating to an issuer or
third party tender offer

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

SC TO-I,
SC TO-I/A

Issuer tender offer statement

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

SC TO-T,
SC TO-T/A

Third party tender offer statement

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

SC13E4F,
SC13E4F/A

Issuer tender offer statement filed pursuant to
Rule 13(e)(4) by foreign issuers

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

SC14D1F,
SC14D1F/A

Third party tender offer statement filed
pursuant to Rule 14d-1(b) by foreign issuers

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

C14D9C

Written communication by the subject
company relating to a third party tender offer

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

SC14D9F,
SC14D9F/A

Solicitation/recommendation statement
pursuant to Section 14(d)(4) of the Securities
Exchange Act of 1934 and Rules 14d-1(b) and
14e-2(c) by foreign issuers

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

SH-ER,
SH-ER/A

Weekly Form SH Entries Report Filed by
Institutional Investment Managers

EDGARLink
Online

SH-ER
Information Table
XML Technical
Specification

August 2011

3-23

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

SH-NT,
SH-NT/A

Weekly Form SH Notice Report Filed by
Institutional Investment Managers

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

SP 15D2,
SP 15D2/A

Special Financial Report filed under Rule 15d2

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

SUPPL

Voluntary supplemental material filed pursuant
to Section 11(a) of the Securities Act of 1933
by foreign issuers

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

T-1, T-2

Note - 'Submission types' T-1 and T-2 are not
used as stand-alone submission types on the
EDGAR system. They are filed as EX-25 to
registration statements.

T-3, T-3/A

Initial application for qualification of trust
indentures

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

T-6, T-6/A

Application for determination of eligibility of a
foreign person to act as institutional trustee
filed pursuant to Section 310(a)(1) of the Trust
Indenture Act of 1939

EDGARLink
Online

EDGARLink
Online XML
Technical
Specification

TA-1, TA-1/A

Application for registration as a transfer agent
filed pursuant to the Securities Exchange Act
of 1934

EDGARLite
TA-1
Template

TA-1 XML
Technical
Specification

TA-2, TA-2/A

Annual report of transfer agent activities filed
pursuant to the Securities Exchange Act of
1934

EDGARLite
TA-2
Template

TA-2 XML
Technical
Specification

TA-W

Notice of withdrawal from registration as
transfer agent filed pursuant to the Securities
Exchange Act of 1934

EDGARLite
TA-W
Template

TA-W XML
Technical
Specification

EDGAR Filer Manual (Volume II)

3-24

August 2011

3.2

Electronic Form Types by Act

This index will allow you to use th

[Text truncated at 120,000 characters. The full text is on the page linked above.]

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/agency%3Asec%3Ac9dab622f1648699. Public record. Not legal advice.