# Filer Manual – Volume II

> Briefs, arguments, decisions, and more.

URL: https://www.frixlaw.com/law-library/documents/agency%3Asec%3Acd092d750554da48

## Record

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

## Text

Filer Manual – Volume II
EDGAR Filing

®
VERSION 7

May 2008

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

®

EDGAR and EDGARLink are registered trademarks of the Securities and Exchange
Commission. EDGARLite™ is a trademark of the Securities and Exchange Commission. All
other product brand names mentioned in this Filer Manual are trademarks or registered
trademarks of their respective holders.
Note: New EDGAR software releases include modifications to the EDGARLink software and
EDGAR submission templates. Please download, install, and use the new EDGARLink
software and submission templates to ensure that submissions will be processed
successfully.
To protect the privacy of our filing community, filers are asked not to include social security
numbers in filings submitted to the Commission.

EDGAR Filer Manual (Volume II)

February
May 2008
2008

Updates
On December 17, 2007, EDGAR Release 9.8 introduced the following changes:
•

Applications for orders under any section of the Investment Company Act of
1940:
− Release 9.8 added the following application submission types as electronic
submissions: 40-OIP, 40-OIP/A, 40-6B, 40-6B/A, 40-APP, 40-APP/A. These
new electronic submission types were added to EDGARLink Submission
Template #3.
− For background, concerning the electronic submission of applications, see
Release 33-8859 (November 1, 2007)[72 FR 63513], Electronic Submission of
Applications for Orders under the Investment Company Act and Filings Made
Pursuant to Regulation E (proposing release).
− Filers may use these submission types only if and when the Commission might
adopt the amendments set forth in the proposing release.

•

Regulation E filings by Small Business Investment Companies (SBIC’s) and
Business Development Companies (BDC’s):
− Release 9.8 added the following Regulation E filings as electronic submissions: 1E, 1-E/A, 1-E AD, 1-E AD/A, 2-E, 2-E/A. These new submission types were
added to EDGARLink Submission Template #3.
− For background, concerning the electronic submission of Regulation E filings, see
Release 33-8859 (November 1, 2007)[72 FR 63513] (proposing release).
− Filers may use these submission types only if and when the Commission might
adopt the amendments set forth in the proposing release.

•

Smaller Reporting Company regulatory relief and simplification (Release No.
33-8876, 34-56994, 39-2451; File No. S7-15-07)
− Release 9.8 modified submission types S-1, S-1/A, S-1MEF, S-3, S-3/A,
S-3D, S-3DPOS, S-3MEF, S-4, S-4POS, S-4/A, S-4EF, S-4EF/A, S-4MEF, S-8,
S-8POS, S-11, S-11/A, S-11MEF, 10-12B, 10-12B/A, 10-12G, 10-12G/A, POS
AM, POS EX by adding a “Smaller Reporting Company” indicator to the header
of electronic filings.
− As part of Release 9.8, some existing Small Business submission types:
10SB12B, 10SB12B/A, 10SB12G, 10SB12G/A, SB-1, SB-1/A, SB-1MEF, SB-2,
SB-2/A and SB-2MEF will be suspended as of February 4, 2008. Submission
types 10QSB and 10QSB/A will be suspended as of November 3, 2008.
Submission types 10KSB and 10KSB/A will be suspended as of March 16, 2009

If a filer new to the electronic filing process has previously filed with the SEC in paper,
it has been assigned a CIK and must use the Convert Paper Only Filer to Electronic Filer

EDGAR Filer Manual (Volume II)

May 2008

functionality (Volume I, Section 3.3.1) on the EDGAR Filer Management Website to get access
to EDGAR prior to making a filing with the SEC.
If a new electronic filer has not previously filed with the SEC in paper (i.e., it does not have a
CIK), it must apply for EDGAR Access via the EDGAR Filer Management Website (EDGAR
Filer Manual, Volume I, Section 3.2) prior to making a filing with the SEC.
On February 4, 2008, EDGAR Release 9.9 introduced the following changes:
•

Transition from Mellon Bank to U.S. Bank, St. Louis, Missouri as the
depository/financial agent for the SEC.

•

The U.S. Department of Treasury’s Financial Management Service has designated
U.S. Bank of St. Louis, Missouri as the new Financial Agent for General Lockbox
Services for the SEC. U.S. Bank will take over this responsibility from Mellon
Bank on February 4, 2008. All fee payments (wires and checks) must be
submitted to U.S. Bank on and after this date. No payments should be submitted
to Mellon Bank after February 1, 2008. It is not necessary for filers to have an
account at U.S. Bank to submit fee payments.

•

WIRES: The hours of operation at U.S. Bank are 8:30am until 6:00pm eastern
time for wires. U.S. Bank’s ABA number is 081000210.

•

To ensure proper credit and prompt filing acceptance, it is critical to include:
− the SEC’s account number at U.S. Bank (152307768324)
− the payor’s SEC-assigned CIK (Central Index Key) number (also know as the
SEC-assigned registrant or payor account number):
CHECKS: To remit your SEC filing fee payment by check or money order, you must
make them payable to the Securities and Exchange Commission, omitting the name
or title of any official of the Commission. On the front of the check or money order,
you must include the SEC’s account number (152307768324) and CIK number of the
account to which the fee is to be applied.
You must mail checks (certified or cashier’s check) or money orders to the following
U.S. Bank addresses. U.S. Bank does not support walk-in deliveries by individuals.
For USPS remittances, they MUST be sent to the following PO Box address.
Securities & Exchange Commission
P.O. Box 979081
St. Louis, MO 63197-9000
The following address can be used for common carriers such as FedEx,
Airborne, DHL, and UPS.
U.S. Bank
Government Lockbox 979081
1005 Convention Plaza
SL-MO-C2-GL
St. Louis, MO 63101

May 2008

EDGAR Filer Manual (Volume II)

Please refer to the SEC’s “Instructions for Wire Transfer (FEDWIRE) and Check
Payment of SEC Filing Fees” (http://www.sec.gov/info/edgar/fedwire.htm) on our
“Information for EDGAR Filers” webpage additional information.
•

The modification of electronic Transfer Agent Forms (Forms TA-1 and Form TA2) to be used for filing with the SEC (except for cases of Temporary or Continuing
Hardship) in lieu of the equivalent paper forms.
− Form TA-1, Version 3.2.0:
The template was modified to update version control information. This version
also includes all modifications from previous versions to include a change in how
Questions #8, #9, and #10 behave. If Question #8 is answered as "Not
Applicable", then Questions #9 and #10 are not required.
− Form TA-2, Version 3.2.0:
This version contains updates to Questions 5(d)(i), 5(d)(ii), 5(d)(iii), 5(d)(iv),
5(d)(v), and 5(d)(vi) so that the fields accept fractional amounts. This version
also includes all modifications from previous versions to include updates to
Questions 6(a), 6(b) and 6(c) so that the values are not required to total 100.
OnlineForms/XML Website has EDGARLite templates implemented under the
Microsoft® Office InfoPath™ 2003 program – it will be necessary to install
InfoPath™ 2003 with at least Service Pack 1 on your PC to use these templates.

EDGAR Filer Manual (Volume II)

May 2008

Table of Contents
1.

INTRODUCTION TO VOLUME II ................................................................................ 1-1
1.1
Organization of this Manual ........................................................................................ 1-1
1.1.1

2.

3.

Conventions Used in the Filer Manual .............................................................................................. 1-2

QUICK GUIDE TO EDGAR FILING ............................................................................. 2-1
2.1
EDGAR Filing Process ................................................................................................ 2-1
2.1.1

Using EDGARLink Templates .......................................................................................................... 2-2

2.1.2

EDGAR OnlineForms/XML Website................................................................................................ 2-2

2.1.3

After a Submission is Filed................................................................................................................ 2-3

2.2

Filing Checklist............................................................................................................ 2-3

2.3

General Information for Filers ..................................................................................... 2-6

2.3.1

Hours of Operation ............................................................................................................................ 2-6

2.3.2

Introduction to Web Browsers ........................................................................................................... 2-6

2.3.3

Browser Differences .......................................................................................................................... 2-6

2.3.4

Accessing EDGAR ............................................................................................................................ 2-7

2.3.5

Getting Help with EDGAR................................................................................................................ 2-7

INDEX TO FORMS ........................................................................................................... 3-1
3.1
Alpha/Numeric............................................................................................................. 3-2

3.2
Electronic Form Types by Act................................................................................... 3-18
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 ................................................................................................................................ 4-5

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EDGAR Filer Manual (Volume II)

4.5

Offsetting Fees ............................................................................................................. 4-5

4.5.1

Offsetting Fees Example.................................................................................................................... 4-5

4.5.2

Example of Fee Calculation for 24F-2NT ......................................................................................... 4-6

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...............................................................................................................................................5-12

5.2.3

Unofficial PDF..................................................................................................................................5-25

5.2.4

Unofficial XBRL ..............................................................................................................................5-27

5.3

Preparing or Referencing Module and Segment Documents..................................... 5-35

5.3.1

Module and Segment Naming ..........................................................................................................5-36

5.3.2

Types of Modules and Segments ......................................................................................................5-37

5.3.3

Maintaining Modules and Segments.................................................................................................5-40

5.4

Document Types in EDGAR ..................................................................................... 5-44

5.4.1

Non-Public and Confidential ............................................................................................................5-44

5.4.2

Exhibits.............................................................................................................................................5-44

5.5
Common Problems..................................................................................................... 5-45
6. PREPARING AND TRANSMITTING EDGARLINK SUBMISSIONS ...................... 6-1
6.1
Introduction.................................................................................................................. 6-1
6.1.1

Using the EDGAR Filing Website..................................................................................................... 6-3

6.1.2

Information on Headers ..................................................................................................................... 6-7

6.2

Installation.................................................................................................................... 6-7

6.2.1

Step 1 - Downloading the EDGARLink Software............................................................................. 6-7

6.2.2

Step 2 - Installing on Your PC..........................................................................................................6-10

6.2.3

Step 3 - Downloading the Submission Templates ............................................................................6-14

6.2.4

Step 4 - Downloading the Fee Rate Table ........................................................................................6-18

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\

6.3

Preparing Your EDGARLink Submission................................................................. 6-19

6.3.1

Submission Templates ......................................................................................................................6-19

6.3.2

EDGARLink Submission Preparation Map......................................................................................6-24

6.3.3

The EDGARLink Main Page............................................................................................................6-26

6.3.4

The EDGARLink Documents Page ..................................................................................................6-37

6.3.5

The EDGARLink Notification Page.................................................................................................6-45

6.3.6

The EDGARLink Module/Segment Page.........................................................................................6-46

6.3.7

The EDGARLink Series and Classes (Contracts) Information Page ................................................6-49

6.3.8

The EDGARLink Fee Offsets Page..................................................................................................6-60

6.3.9

The EDGARLink Fee and Offering Information Page .....................................................................6-62

6.3.10

Combining Form Types in a Single Submission..........................................................................6-68

6.3.11

Module and Segment Submissions ..............................................................................................6-71

6.3.12

Correspondence Submissions and Documents.............................................................................6-73

6.3.13

N-SAR Documents ......................................................................................................................6-74

6.3.14

Bulk Filing ...................................................................................................................................6-74

6.4

Validating Your Submission...................................................................................... 6-75

6.4.1

Field Validation ................................................................................................................................6-76

6.4.2

Document Validation........................................................................................................................6-76

6.4.3

Submission Validation......................................................................................................................6-79

6.4.4

Editing Your Submission..................................................................................................................6-80

6.4.5

Submission Errors.............................................................................................................................6-81

6.4.6

Document Errors...............................................................................................................................6-81

6.5
6.5.1

6.6

Saving Your Submission ........................................................................................... 6-81
Signing Submissions Digitally..........................................................................................................6-82

Transmissions to EDGAR.......................................................................................... 6-84

6.6.2

Transmitting Single Submissions .....................................................................................................6-85

6.6.3

Transmitting Modules and Segments................................................................................................6-88

6.6.4

Transmitting Bulk Filings.................................................................................................................6-88

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EDGAR Filer Manual Volume (II)

6.6.5

6.7
6.7.1

Test Submissions ..............................................................................................................................6-88

EDGAR Filing Website Help .................................................................................... 6-89
EDGARLink Help ............................................................................................................................6-89

6.8
Common Problems..................................................................................................... 6-90
7. PREPARING AND TRANSMITTING EDGARLITE SUBMISSIONS....................... 7-1
7.1
Purpose......................................................................................................................... 7-1
7.2
7.2.1

Minimum InfoPath Requirements...................................................................................................... 7-1

7.2.2

Getting Help with Installation............................................................................................................ 7-2

7.3

Downloading and Installing Templates ....................................................................... 7-2

7.4

Preparing your EDGARLite Submission..................................................................... 7-6

7.4.1

8.

What is Microsoft Infopath.......................................................................................... 7-1

Retrieving a Partially Completed Filing ...........................................................................................7-15

7.5

Saving and Printing Your Filing ................................................................................ 7-15

7.6

Transmitting XML Submissions................................................................................ 7-16

7.6.1

Transmit XML as a Test Submission................................................................................................7-17

7.6.2

Transmit XML as a Live Submission ...............................................................................................7-18

7.6.3

Transmission Status ..........................................................................................................................7-20

PREPARING AND TRANSMITTING ONLINE SUBMISSIONS ............................... 8-1
8.1
Online Filing Preparation............................................................................................. 8-1
8.1.1

8.2

OnlineForms Data Gathering Model ................................................................................................. 8-1

Creating an Online Section 16 Ownership Submission............................................... 8-2

8.2.1

Accessing EDGAR OnlineForms/XML Website .............................................................................. 8-2

8.2.2

Navigating EDGAR........................................................................................................................... 8-5

8.2.3

Select Ownership Submission Form Type......................................................................................... 8-8

8.2.4

Assemble Ownership Submission...................................................................................................... 8-9

8.3
Common Problems..................................................................................................... 8-27
9. FILER-CONSTRUCTED XFDL/XML SUBMISSIONS ............................................... 9-1
9.1
Filer-Constructed XFDL Technical Specifications ..................................................... 9-1
9.2
Filer-Constructed XML Technical Specifications ....................................................... 9-1
10. DETERMINING THE STATUS OF YOUR FILING .................................................. 10-1
10.1 Filing Date of Electronically Transmitted Submissions ............................................ 10-1

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10.2

Receiving E-Mail Status of Filings from the SEC..................................................... 10-1

10.2.1

How EDGAR Uses the Internet for E-Mail .................................................................................10-1

10.2.2

How Mail Is Addressed to the Internet Address ..........................................................................10-2

10.3

Accessing Submission Information ........................................................................... 10-2

10.4

Return Copy Support ................................................................................................. 10-4

10.4.1

Requesting a Return Copy via EDGARLink ...............................................................................10-4

10.4.2

Requesting a Return Copy via an Ownership Submission...........................................................10-5

10.4.3

Who Can Access Return Copies ..................................................................................................10-5

10.4.4

Retrieve Return Copies ................................................................................................................10-6

10.5

Submission Information............................................................................................. 10-8

10.5.1

Retrieving Submission Notification .............................................................................................10-8

10.5.2

Retrieve Module/Segment Information......................................................................................10-10

10.5.3

Module Information ...................................................................................................................10-11

10.5.4

Segment Information..................................................................................................................10-13

10.6 Getting Help with the Content of Filings or Exemptions/Adjustments................... 10-14
APPENDIX A. MESSAGES REPORTED BY EDGAR ....................................................... A-1
APPENDIX B. FREQUENTLY ASKED QUESTIONS ........................................................B-1
APPENDIX C. EDGAR SUBMISSION TEMPLATES........................................................ C-1
APPENDIX D. PAPER FORMS ............................................................................................. D-1
APPENDIX E. AUTOMATED CONFORMANCE RULES FOR TEMPLATE FIELDS E-1
APPENDIX F. GLOSSARY OF COMMONLY USED TERMS, ACRONYMS AND
ABBREVIATIONS.............................................................................................................F-1
APPENDIX G. FORM 13F SPECIAL ELECTRONIC FILING INSTRUCTIONS ......... G-1

F 2008
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EDGAR Filer Manual Volume (II)

PREFACE
Welcome to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system of the U.S.
Securities and Exchange Commission (SEC). EDGAR provides an electronic filing process for
filers and filing agents submitting documents under the Securities Act of 1933, the Securities
Exchange Act of 1934, the Trust Indenture Act of 1939, and the Investment Company Act of
1940 (collectively, "Acts"). This manual explains how you can file electronically with the SEC.
The SEC accepts electronic submissions through the Internet or direct dial transmissions.
EDGAR will disseminate that information and you may view electronically submitted filings in
the SEC's Public Reference Room in Washington, DC, through commercial dissemination
services, or by using the SEC's Public Website.
Do you need to file through EDGAR?
Whether or not you need to submit filings on EDGAR will depend on the form type(s) you are
required to submit. For those requirements, refer to Regulation S-T, Rule 101 [Mandated
Electronic Submissions and Exceptions].
Rules Governing Forms and Filing Information
EDGAR provides you with an electronic way to submit information to us. It does not change
the content of what you submit. Regulation S-T mandates electronic submissions of filings by
all domestic and foreign registrants. Regulation S-T also provides the general requirements and
procedures for electronic filing. You may find copies of Regulation S-T in the Federal Register
and the Code of Federal Regulations (17 CFR Part 232) in our Public Reference Rooms. You
will also find Regulation S-T under the Division of Corporation Finance area on the SEC's
Public Website under Forms and Associated Regulations, EDGAR.
We have identified the following other laws and releases that affect electronic filing. You may
obtain copies of this material from the SEC’s Public Website.
•

Securities and Exchange Commission Authorization Act of 1987 -- Public Law 100-181
(December 4, 1987). (Section 35A of Securities Exchange Act of 1934.)

May 2008

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EDGAR Filer Manual Volume (II)

Releases
33-8876
Issued 12/19/07
Effective 02/04/08
(73 FR 934)

Smaller Reporting Company Regulatory Relief and
Simplification

33-8859
Issued 11/01/07
Effective N/A
(72 FR 63513)

Rulemaking for EDGAR System; Mandatory Electronic
Submission of Applications for Orders under the Investment
Company Act and Filings Made Pursuant to Regulation E
(proposing release)

33-8823
Issued 07/11/07
Effective 08/20/07
(72 FR 39290)

Extension of the Interactive Data Voluntary Program on the
EDGAR System to Include Mutual Fund Risk/Return Summary
Information

34-55540
Issued 03/27/07
Effective 06/04/07
(72 FR 16934)

Termination of a Foreign Private Issuer’s Registration of a Class
of Securities under Section 12(G) and Duty to File Reports
under Section 13(A) or 15(D) of the Securities Exchange Act of
1934

34-54356
Issued 12/04/06
Effective 01/11/07
(71 FR 74698)

Electronic Filing of Transfer Agent Forms

33-8644
Issued 12/21/05
Effective 12/27/05
(70 FR 76626)

Revisions to Accelerated Filer Definition and Accelerated
Deadlines for Filing Periodic Reports

33-8591
Issued 7/19/05
Effective 12/1/05
(70 FR 44722)

Securities Offering Reform

33-8590
Issued 07/18/05

Rulemaking for EDGAR System

Effective 09/19/2005
Effective 02/06/2006
Effective 6/12/2006
(70 FR 43558)

Technical amendments to Reg S-T Series and class requirements
Additional mandatory electronic filings for investment
companies

May 2008

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EDGAR Filer Manual (Volume II)

33-8587
Issued 7/15/05
Effective 8/22/05
(70 FR 42234)

Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies

34-52029
Issued 7/14/05
Effective 8/22/05
Compliance 4/24/06
(70 FR 42456)

Removal From Listing and Registration of Securities Pursuant to
Section 12(d) of the Securities Exchange Act of 1934

33-8529
Issued 02/03/05
Effective 03/16/05
(70 FR 6556)

XBRL Voluntary Financial Reporting Program on the EDGAR
System

33-8518
Issued 12/22/04
Effective 3/08/05
(70 FR 1506)

Asset-Backed Securities

34-50486
Issued 10/04/04
Effective 11/08/04
(69 FR 60287)

Proposed Rule Changes of Self-Regulatory Organizations

33-8400A
Issued 8/04/04
Effective 8/23/04
(69 FR 48370)

Additional Form 8-K Disclosure Requirements and Acceleration
of Filing Date; Correction

33-8410
Issued 4/21/04
Effective 4/26/04
(69 FR 22704)

Mandated Electronic Filing for Form ID

33-8170
34-47069
35-27627
Issued 12/27/02

Mandated Electronic Filing and Website Posting for Forms 3, 4,
and 5

EDGAR Filer Manual (Volume II)

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May 2008

33-8009
Issued 5/14/02
Effective 5/24/02
and 11/4/02
(67 FR 36677)

Mandated EDGAR Filing for Foreign Issuers.

33-8007
Issued 9/17/01
(66 FR 49829)

Updated version of the EDGARLink software.

33-7999
Issued 7/30/01
(66 FR 42941)

Next stage of EDGAR Modernization.

33-7933
Issued 1/16/01
Effective 2/02/01
(66 FR 8764)

Next stage of EDGAR Modernization.

33-7855
Issued 4/24/00
Effective 5/30/00

Rules for the next stage of EDGAR Modernization.

Effective 7/10/00
Effective 1/1/01
(65 FR 24788)

Diskette submissions not accepted.
Financial Data Schedule requirement removed.

33-7789
Issued 1/20/00
Effective 1/24/00
(65 FR 3123)

Adopted updated filing form types in Filer Manual.

33-7755
Issued 10/07/99
Effective 10/16/99
(64 FR 56430)

CompuServe discontinued electronic mail service.

33-7684
Issued 5/17/99
Effective 6/28/99
(64 FR 27888)

Rules for the first stage of EDGAR modernization adopted.

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EDGAR Filer Manual (Volume II)

34-40934
Issued 1/12/99
Compliance date 4/1/99
(64 FR 2834)

Electronic filing of Form 13F made mandatory.

33-7472
Issued 10/24/97
Effective 1/1/98
(62 FR 58647)

Commission will no longer accept, in paper, filings required to
be submitted electronically, except in a hardship situation.

33-7427
Issued 7/1/97
(62 FR 36450)

Minor and technical rule amendments, including the elimination
of transition rules applicable to the phase-in period.

33-7122
Issued 12/19/94
(59 FR 67752)

Rules and phase-in schedule made final. Final phase-in lists
published. Minor rule amendments adopted

33-6977
Issued 2/23/93
(58 FR 14628)

Interim rules applicable to electronic filing in general, and
specifically to the Division of Corporation Finance filers.

IC-19284
Issued 2/23/93
(58 FR 14848)

Interim rules specific to investment companies.

35-25746
Issued 2/23/93
(58 FR 14999)

Interim rules specific to public utility holding companies.

33-6980
Issued 2/23/93
(58 FR 15009)

Rules relating to payment of filing fees to the SEC's lockbox in
Pittsburgh, Pennsylvania.

EDGAR Filer Manual (Volume II)

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1.

INTRODUCTION TO VOLUME II

1.1

Organization of this Manual

This volume is divided into chapters and appendices. The paragraphs and subparagraphs are
numbered for easy reference (e.g., 1.2, 5.6.1).
The chapters of this volume primarily refer to the preparation of EDGAR submissions. From this
point forward, when we reference EDGARLite, we are referencing the custom templates created
for some SEC Forms. From this point forward, when we reference EDGARLink, we are
referencing the EDGARLink submission assembler for EDGAR.
The following outline shows you where to find information in this volume. An index is also
provided at the end of this document.
CHAPTER 1 – Introduction
CHAPTER 2 – Quick Guide to EDGAR Filing
CHAPTER 3 – Index to Forms
CHAPTER 4 – Filing Fee Information
CHAPTER 5 – Constructing Attached Documents and Document Types
CHAPTER 6 – Preparing and Transmitting EDGARLink Submissions
CHAPTER 7 – Preparing and Transmitting EDGARLite Submissions
CHAPTER 8 –Preparing and Transmitting Online Submissions
CHAPTER 9 – Filer-Constructed XFDL/XML Submissions
CHAPTER 10 – Determining the Status of your Filing
APPENDICES:
A

Messages Reported by EDGAR

This appendix provides information on acceptance, suspension, and EDGAR error messages,
including all HTML/PDF error messages.
B

Frequently Asked Questions

Answers to some of the questions asked most frequently by EDGAR filers.
C

EDGAR Submission Templates

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This appendix provides a list of submission templates and the submission types within each
submission template. It also contains sample submission template information.
D

Paper Forms

Form SE
Form TH
E

Form for Submission of Paper Format Exhibits by Electronic Filers
Notification of Reliance on Temporary Hardship Exemption

Automated Conformance Rules for Template Fields

EDGAR recognizes specific values for certain fields in each submission template. This appendix
lists the values you must provide in the specified format.
F

Glossary of Commonly Used Terms, Acronyms, and Abbreviations

This glossary contains terms, acronyms, and abbreviations used in the Filer Manual.
1.1.1

Conventions Used in the Filer Manual

As you read this volume you should notice attributes assigned to certain types of text:
•

•

•

•
•

•

Instructions to press a key on a keyboard or click a button on the screen appear in
square brackets and in title case:
◊ Press [Enter]
◊ Click [Module/Segment]
Titles of check, dialog, and list boxes, fields, functions, options, processes,
queries, reports, pages, tables and windows appear in title case:
◊ Submission Type list box
◊ Name field
◊ Company Information query
◊ Return Copy check box
Menus, menu options, radio buttons, and statuses appear in title case and have
double quotation marks around them:
◊ “Test Filing” radio button
◊ From the “Edit” menu, select “Copy”
◊ “Busy” status
Directories and file names appear bolded:
◊ The C:\temp directory
◊ Click on the EDGARInstaller.exe icon
Keystroke combinations appear between less-than and greater-than brackets and
in upper case:
◊
◊
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
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
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and .gif files that contain your graphics. Two other document formats can be used as unofficial
copies: PDF and XBRL. You must follow all of the rules outlined in this manual with regard to
formatting these documents regardless of the tool you use to prepare and transmit your
submission. Keep in mind that not all document formats are permitted for each tool.
2.1.1

Using EDGARLink Templates

If you are using EDGARLink templates, once you have all of your documents prepared, you can
assemble your submission. Open the template and after you select the submission type, you will
be required to answer a few questions about the filing. This data will be added to your document
content, and is commonly called the header, or supplemental data.
There are a few questions on the main page of EDGARLink templates that require special
attention. The Live/Test radio buttons designate whether your submission will be considered a
live filing. A test filing allows you to make sure that the submission is correct by checking all of
the assembled documents and applying host processing steps like determining the fee and
checking your security codes. For a test submission, fees will not be deducted, the filing will not
be disseminated, and your filing will not count towards your requirement to file with the SEC.
Test filings are routinely removed from the internal system after a short period, generally six
calendar days.
The Return Copy checkbox allows you to indicate whether you want to receive an exact copy of
your filing after processing is complete. Return copies can be retrieved from some of the
EDGAR Websites. Submission contact information may be used by the Filer Support Branches
or the SEC divisions if there is an issue with your filing. Including this information allows us to
get in touch with you quickly. Using the Notification section of the template, you may add
multiple e-mail addresses where you would like a notification message sent. Using other pages
on the templates, you may add secondary documents, provide fee information, and validate your
filing. You must save your filing to your local computer.
After the filing is assembled, you can transmit it to the host system. There are a number of
mechanisms you can use for transmission when using EDGARLink templates. The most
frequently used is the Internet. A few filers send in submissions via modems using direct dial and
PPP. Some large volume filers transmit via a dedicated telecommunications link. For Internet
and PPP transmissions, you must login to the host system to transmit your filing. To do this you
must be a registered EDGAR filer. If you have not yet registered you will find the details on this
process in Volume I of the Filer Manual.
2.1.2

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.
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You will be given a number of chances to review and correct information before you send it to
the host system. Similar to EDGARLink templates, you may include a number of e-mail
addresses for filing notifications. You may also request a return copy which provides you with an
exact copy of the submission after it has been processed. You can save the document locally, you
will not be able to retrieve the document to make corrections. As a final step, you must transmit
the submission in the same Internet session.
2.1.3 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.
2.2 Filing Checklist
This section is a quick start guide to the filing process. It is not intended to explain all you need
to know about filing, but should get you started in the right direction. Although the filing process
is different based on the submission type transmitted, the tools used, and the needs of the filer,
some general steps need to be followed for most filings. They are listed in checklist form for you
in Table 2-1: Filing Checklist, and then described in detail in the following sections.

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Table 2-1: Filing Checklist
Step

Activity

1

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

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.

Completion

Note: This data is used in creating header data
in some filings and filing data in other
types of filings. It is your responsibility
to keep your company information
current.
3

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

4

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

5

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

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Step

Activity

Completion

6

Download and/or install the tool you will need
to assemble the submission. (Note you do not
need to perform this step for OnlineForms.)
See Section 6.2 Installation for EDGARLink
and Sections 7.2 What is Microsoft InfoPath
2003 and 7.3 Downloading and Installing
Templates for EDGARLite.

7

Use the tool to create or assemble the
submission. (Note you do not need to perform
this step for OnlineForms.) See Sections 6.3
Preparing Your EDGARLink Submission
through 6.5 Saving Your Submission for
EDGARLink; and Sections 7.4 Preparing your
EDGARLite Submission through 7.5 Saving
Your Filing, for EDGARLite.
REMEMBER TO ALWAYS VALIDATE
YOUR SUBMISSION!

OnlineForms
6&7

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Access the EDGAR OnlineForms/XML
Website and enter your form data. See
Chapter 7 for details. Transmit after data entry
and verification. Skip to step 11.

8

Transmit a test submission to the EDGAR
system. See Section 6.6.5 Test Submissions
for EDGARLink and Section 7.6 Transmitting
XML Submissions.

9

Review your acceptance/suspense message or
return copy to determine if changes are
required. See Section 10.5, Submission
Information for instructions.

10

Transmit a live submission to the EDGAR
system. Make sure that a live file is created by
having the live button clicked. See Section
6.6, Transmissions to EDGAR for
EDGARLink and Section 7.6 Transmitting
XML Submissions.

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Step

Activity

11

Review your acceptance/suspense message. If
necessary, correct errors and file again. See
Section 10.5, Submission Information for
instructions on reviewing your acceptance /
suspense message.

2.3

General Information for Filers

2.3.1

Hours of Operation

Completion

EDGAR accepts filings and changes to company information each business day, Monday
through Friday, from 6:00 a.m. to 10:00 p.m., Eastern Time. Transmissions started but not
completed by 10:00 p.m. Eastern Time may be canceled, and you may have to re-submit on the
next business day.
2.3.2

Introduction to Web Browsers

The EDGAR system uses web-based technology to make submitting filings easier and faster.
Web browsers read code called Hypertext Mark-up Language (HTML). Many people have
become familiar with HTML since they have used the Internet. We use a browser as an integral
part of EDGAR, providing our interface to the EDGAR Filing Website.
2.3.3

Browser Differences

There are two industry standard browsers currently in use today: Netscape Navigator and
Microsoft Internet Explorer (IE). 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.

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Netscape Menu Bar

Internet Explorer Menu Bar
Figure 2-1: Browser Menu Bars
Both 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 two browsers is button appearances
and where to update the preference settings. For detailed information on your browser, see your
browser’s user manual or help function.
The browser window works similarly to all windows, in that it can be maximized, minimized,
and sized. The default menu bar contains buttons that help you navigate the Internet; however,
these buttons do not necessarily help you navigate EDGAR. For the purposes of logging into
EDGAR, downloading files, submitting filings and company queries, or updating company
information, these buttons do not apply. Some of the functions you can use are Bookmark, to
mark the EDGAR Login page for easy accessibility; Back, to correct, add, or remove criteria
from a query; and Security, to turn on or off your security functions.
2.3.4 Accessing EDGAR
To access EDGAR, you must have EDGAR access codes. New filers and filers who want to file
in another capacity (e.g., filing agent or training agent) must use Form ID to apply 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 7:00 a.m. to 7:00 p.m. Eastern Time.

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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 EDGAR and Information Analysis in the Division of Corporation Finance at (202)
551-3600.
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.
•
•

2.4

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).
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).

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:

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URL

Name

https://www.edgarfiling.sec.gov

EDGAR Filing Website

Transmit EDGARLink Templates
Transmit XFDL Filer-Constructed Forms
Updates of Entity Information
Filing Status and E-mail Notifications
Return Copy Retrieval
Download EDGARLink Application
Download EDGARLink templates and fee rate table
https://www.onlineforms.edgarfiling.sec.gov

EDGAR OnlineForms/XML Website

Prepare and transmit Ownership filings
Transmit XML Filer-Constructed Submissions
Updates of Entity Information
Filing Status and E-mail Notifications
Return Copy Retrieval
Download EDGARLite templates
https://www.filermanagement.edgarfiling.sec.gov/

EDGAR Filer Management Website

Apply for EDGAR Access (New)
Generate Access Codes (New/Replacement)
Update Passphrase
Convert Paper Only Filer to Electronic Filer
EDGAR Access for New Serial Companies
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.

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3.

INDEX TO FORMS

As a filer, you will first need to determine whether you must meet your filing obligation via
EDGAR. The SEC Rules, particularly Regulation S-T, General Rules and Regulations for
Electronic Filings, outline which filings are mandated as electronic. This means that they must be
filed on EDGAR unless there is a case for Temporary or Permanent Hardship. (The rules for
each form and hardship exemptions may differ, so please see the regulation for specific
information.) Once you determine the form you need to file is electronic, then you need to
identify the submission type to use. For each submission type, there are specific tools that you
can use.
As the EDGAR system has evolved using new technologies, tools have been added, changed,
and sometimes updated. There is no longer a single tool for preparing an EDGAR submission.
Your guide to the tools is this index. The first index allows you to lookup EDGAR electronic
submission types easily if all you know is the submission form type. Included in the last two
columns is detailed information about the tools that are used to create and/or assemble the filing.
The second index is easiest to use if you are more comfortable looking up your submission type
by Act.
Before using the indexes, it is important to understand the difference between the Code of
Federal Regulations (CFR) Form/Schedule/Rule column reference and the EDGAR Submission
Type column. The index entries under the CFR Form/Schedule/Rule column refer to the titles of
the actual Form, Schedule or Rule named in the CFR. The Submission Type refers to Form
variations filers use on the electronic filing system to fulfill their filing obligation. For example,
the paper Form 15 is implemented on EDGAR as a number of different submission types
including: 15-12B, 15-12G, and 15-15D. The last three digits represent the sections of the 34 Act
under which the filer is registered.
Using either Index, find the submission type, check that the description of the form matches your
understanding of the purpose of the form, and identify the tool or template that should be used to
create the form. The options in this column are EDGARLink and the corresponding templates,
EDGARLite and the corresponding templates and OnlineForms. There is a section in this manual
describing in detail each of these tools. Chapter 6 PREPARING AND TRANSMITTING
EDGARLINK SUBMISSIONS describes EDGARLink Chapter 7 PREPARING AND
TRANSMITTING EDGARLITE SUBMISSIONS describes EDGARLite. Chapter 8,
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.

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3.1

Alpha/Numeric
Submission
Type

1-E, 1-E/A

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

Notification under Regulation E by small
business investment companies and business
development companies.

EDGARLink
Template 3

XFDL
Technical
Specification

EDGARLink
Template 3

XFDL
Technical
Specification

EDGARLink
Template 3

XFDL
Technical
Specification

(not for use unless requirement adopted)
1-E AD, 1-E AD/A

Sales material filed pursuant to Rule 607 under
Regulation E.
(not for use unless requirement adopted)

2-E, 2-E/A

Report of sales of securities pursuant to Rule
609 under Regulation E.
(not for use unless requirement adopted)

10-12B, 10-12B/A

Initial general form for registration of a class of
securities pursuant to section 12(b)

EDGARLink
Template 3

XFDL
Technical
Specification

10-12G, 10-12G/A

Initial general form for registration of a class of
securities pursuant to section 12(g)

EDGARLink
Template 3

XFDL
Technical
Specification

10-D, 10-D/A

Periodic distribution reports by Asset-Backed
issuers pursuant to Rule 13a-17 or 15d-17

EDGARLink
Template 3

XFDL
Technical
Specification

10-K, 10-K/A

Annual report pursuant to section 13 and 15(d)

EDGARLink
Template 3

XFDL
Technical
Specification

10KSB, 10KSB/A

Optional form for annual and transition reports
of small business issuers under section 13 or
15(d)

EDGARLink
Template 3

XFDL
Technical
Specification

Will no longer be accepted as of March 16,
2009
10-KT, 10-KT/A

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

EDGARLink
Template 3

XFDL
Technical
Specification

10-Q, 10-Q/A

Quarterly report pursuant to sections 13 or
15(d)

EDGARLink
Template 3

XFDL
Technical
Specification

10QSB, 10QSB/A

Optional form for quarterly and transition
reports of small business issuers under section
13 or 15(d)

EDGARLink
Template 3

XFDL
Technical
Specification

Will no longer be accepted as of November 3,
2008

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Submission
Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

10-QT, 10-QT/A

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

EDGARLink
Template 3

XFDL
Technical
Specification

10SB12B,
10SB12B/A

Form for initial registration of a class of
securities for small business issuers pursuant
to section 12(b)

EDGARLink
Template 3

XFDL
Technical
Specification

EDGARLink
Template 3

XFDL
Technical
Specification

Will no longer be February 4, 2008
10SB12G,
10SB12G/A

Form for initial registration of a class of
securities for small business issuers pursuant
to section 12(g)
Will no longer be accepted as of February 4,
2008

11-K, 11-K/A

Annual report of employee stock purchase,
savings and similar plans

EDGARLink
Template 3

XFDL
Technical
Specification

11-KT, 11-KT/A

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

EDGARLink
Template 3

XFDL
Technical
Specification

13F-HR, 13FHR/A

Initial Quarterly Form 13F Holdings report filed
by institutional managers

EDGARLink
Template 3

XFDL
Technical
Specification

13F-NT, 13FNT/A

Initial Quarterly Form 13F Notice Report filed
by institutional managers

EDGARLink
Template 3

XFDL
Technical
Specification

144, 144/A

Filing for proposed sale of securities under
Rule 144

EDGARLink
Template 2

XFDL
Technical
Specification

15-12B, 15-12B/A

Notice of termination of registration of a class
of securities under Section 12(b)

EDGARLink
Template 3

XFDL
Technical
Specification

15-12G, 15-12G/A

Notice of termination of registration of a class
of securities under Section 12(g)

EDGARLink
Template 3

XFDL
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
Template 3

XFDL
Technical
Specification

15F-12B, 15F12B/A

Notice of termination of a foreign private
issuer’s registration of a class of securities
under Section 12(b)

EDGARLink
Template 3

XFDL
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
Template 3

XFDL
Technical
Specification

April
2008
May 2008

3-3

EDGAR Filer Manual (Volume II)

Submission
Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

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
Template 3

XFDL
Technical
Specification

18-12B, 18-12B/A

Form for initial registration of securities of
foreign governments or political subdivisions
pursuant to section 12(b)

EDGARLink
Template 3

XFDL
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
Template 3

XFDL
Technical
Specification

18-K, 18-K/A

Annual report for foreign governments and
political subdivisions

EDGARLink
Template 3

XFDL
Technical
Specification

20-F, 20-F/A

Annual and transition report of foreign private
issuers pursuant to sections 13 or 15(d)

EDGARLink
Template 3

XFDL
Technical
Specification

20FR12B,
20FR12B/A

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

EDGARLink
Template 3

XFDL
Technical
Specification

20FR12G,
20FR12G/A

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

EDGARLink
Template 3

XFDL
Technical
Specification

24F-2NT,
24F-2NT /A

Rule 24F-2 notice filed on Form 24F-2

EDGARLink
Template 1

XFDL
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
Template 3

XFDL
Technical
Specification

25-NSE, 25NSE/A

Notification filed by national security exchange
to report the removal from listing and
registration of matured, redeemed or retired
securities

Distributed
to National
Securities
Exchanges
only

Distributed to
National
Securities
Exchanges
only

3, 3/A

Initial statement of beneficial ownership of
securities

OnlineForms

Ownership
XML Technical
Specification

305B2, 305B2/A

Application for designation of a new trustee
under the Trust Indenture Act

EDGARLink
Template 3

XFDL
Technical
Specification

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
by an employees’ securities company

EDGARLink
Template 3

XFDL
Technical

EDGAR Filer Manual (Volume II)

3-4

May 2008

Submission
Type

Description

Tool/
Template
Number

(not for use unless requirement adopted)

FilerConstructed
Form Spec.
Specification

40-17F1,
40-17F1/A

Initial certificate of accounting of securities and
similar investments in the custody of
management investment companies filed
pursuant to Rule 17f-1 of the Investment
Company Act of 1940 filed on Form N-17F-1

EDGARLink
Template 2

XFDL
Technical
Specification

40-17F2,
40-17F2/A

Initial certificate of accounting of securities and
similar investments in the custody of
management investment companies filed
pursuant to Rule 17f-2 of the Investment
Company Act of 1940 filed on Form N-17F-2

EDGARLink
Template 2

XFDL
Technical
Specification

40-17G, 40-17G/A

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

EDGARLink
Template 2

XFDL
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
Template 2

XFDL
Technical
Specification

40-24B2,
40-24B2/A

Filing of sales literature pursuant to Rule 24b2
under the Investment Company Act of 1940

EDGARLink
Template 2

XFDL
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
Template 2

XFDL
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
Template 2

XFDL
Technical
Specification

40-8B25

Document or report

EDGARLink
Template 2

XFDL
Technical
Specification

40-8F-2, 40-8F2/A

Initial application for deregistration pursuant to
Investment Company Act Rule 0-2

EDGARLink
Template 2

XFDL
Technical
Specification

40-APP, 40APP/A

Applications under the Investment Company
Act other than those reviewed by Office of
Insurance Products

EDGARLink
Template 3

XFDL
Technical
Specification

EDGARLink
Template 3

XFDL
Technical
Specification

(not for use unless requirement adopted)
40-F, 40-F/A

April2008
2008
May

Annual reports filed by certain Canadian
issuers pursuant to Section 15(d) and Rule
15d-4

3-5

EDGAR Filer Manual (Volume II)

Submission
Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

40FR12B,
40FR12B/A

Registration of a class of securities of certain
Canadian issuers pursuant to Section 12(b) of
the 1934 Act

EDGARLink
Template 3

XFDL
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
Template 3

XFDL
Technical
Specification

40-OIP, 40-OIP/A

Applications under the Investment Company
Act reviewed by Office of Insurance Products

EDGARLink
Template 3

XFDL
Technical
Specification

(not for use unless requirement adopted)
424A

Prospectus filed pursuant to Rule 424(a)

EDGARLink
Template 3

XFDL
Technical
Specification

424B1

Prospectus filed pursuant to Rule 424(b)(1)

EDGARLink
Template 1

XFDL
Technical
Specification

424B2

Prospectus filed pursuant to Rule 424(b)(2)

EDGARLink
Template 1

XFDL
Technical
Specification

424B3

Prospectus filed pursuant to Rule 424(b)(3)

EDGARLink
Template 1

XFDL
Technical
Specification

424B4

Prospectus filed pursuant to Rule 424(b)(4)

EDGARLink
Template 1

XFDL
Technical
Specification

424B5

Prospectus filed pursuant to Rule 424(b)(5)

EDGARLink
Template 1

XFDL
Technical
Specification

424B7

Prospectus filed pursuant to Rule 424(b)(7)

EDGARLink
Template 1

XFDL
Technical
Specification

424B8

Prospectus filed pursuant to Rule 424(b)(8)

EDGARLink
Template 1

XFDL
Technical
Specification

425

Filing under Securities Act Rule 425 of certain
prospectuses and communications in
connection with business combination
transactions

EDGARLink
Template 2

XFDL
Technical
Specification

485APOS

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

EDGARLink
Template 3

XFDL
Technical
Specification

485BPOS

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

EDGARLink
Template 3

XFDL
Technical
Specification

EDGAR Filer Manual (Volume II)

3-6

February
May2008
2008

Submission
Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

485BXT

Post-effective amendment filed pursuant to
Securities Act Rule 485(b)(1)(iii) to designate a
new effective date for a post-effective
amendment previously filed pursuant to
Securities Act Rule 485(a) (this filing cannot be
submitted as a 1940 Act only filing)

EDGARLink
Template 3

XFDL
Technical
Specification

486APOS

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

EDGARLink
Template 3

XFDL
Technical
Specification

486BPOS

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

EDGARLink
Template 3

XFDL
Technical
Specification

487

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

EDGARLink
Template 1

XFDL
Technical
Specification

497

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

EDGARLink
Template 3

XFDL
Technical
Specification

497AD

Filing by certain investment companies of
Securities Act Rule 482 advertising in
accordance with Securities Act Rule 497 and
the Note to Rule 482(c)

EDGARLink
Template 3

XFDL
Technical
Specification

497H2

Filings made pursuant to Rule 497(h)(2)

EDGARLink
Template 3

XFDL
Technical
Specification

497J

Certification of no change in definitive materials
under paragraph (j) of Securities Act Rule 497

EDGARLink
Template 3

XFDL
Technical
Specification

497K1

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

EDGARLink
Template 3

XFDL
Technical
Specification

497K2

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

EDGARLink
Template 3

XFDL
Technical
Specification

497K3A

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

EDGARLink
Template 3

XFDL
Technical
Specification

497K3B

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

EDGARLink
Template 3

XFDL
Technical
Specification

5, 5/A

Annual statement of changes in beneficial
ownership of securities

OnlineForms

Ownership
XML Technical
Specification

February
May 20082008

3-7

EDGAR Filer Manual (Volume II)

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
Template 3

XFDL
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
Template 3

XFDL
Technical
Specification

8-A12G, 8A12G/A

Form for registration of a class of securities
pursuant to section 12(g)

EDGARLink
Template 3

XFDL
Technical
Specification

8-K, 8-K/A

Current report filing

EDGARLink
Template 3

XFDL
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
Template 3

XFDL
Technical
Specification

8-K12G3, 8K12G3/A

Notification that a class of securities of
successor issuer is deemed to be registered
pursuant to section 12(g)

EDGARLink
Template 3

XFDL
Technical
Specification

8-K15D5, 8K15D5/A

Notification of assumption of duty to report by
successor issue under section 15(d)

EDGARLink
Template 3

XFDL
Technical
Specification

ANNLRPT,
ANNLRPT/A

Periodic Development Bank filing, submitted
annually

EDGARLink
Template 2

XFDL
Technical
Specification

ARS, ARS/A

Annual report to security holders

EDGARLink
Template 3

XFDL
Technical
Specification

AW

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

EDGARLink
Template 3

XFDL
Technical
Specification

AW WD

Withdrawal of a request for withdrawal of an
amendment to a registration statement

EDGARLink
Template 1

XFDL
Technical
Specification

CB, CB/A

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

EDGARLink
Template 2

XFDL
Technical
Specification

CORRESP

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

EDGARLink
Template 4

XFDL
Technical
Specification

DEF 14A

Definitive proxy statements

EDGARLink
Template 2

XFDL
Technical
Specification

EDGAR Filer Manual (Volume II)

3-8

February
May 2008
2008

Submission
Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

DEF 14C

Definitive information statements

EDGARLink
Template 2

XFDL
Technical
Specification

DEFA14C

Definitive additional information statement
materials including Rule 14(a)(12) material

EDGARLink
Template 2

XFDL
Technical
Specification

DEFC14A

Definitive proxy statement in connection with
contested solicitations

EDGARLink
Template 2

XFDL
Technical
Specification

DEFC14C

Definitive information statement - contested
solicitations

EDGARLink
Template 2

XFDL
Technical
Specification

DEFM14A

Definitive proxy statement relating to merger or
acquisition

EDGARLink
Template 2

XFDL
Technical
Specification

DEFM14C

Definitive information statement relating to
merger or acquisition

EDGARLink
Template 2

XFDL
Technical
Specification

DEFN14A

Definitive proxy statement filed by non
management

EDGARLink
Template 2

XFDL
Technical
Specification

DEFR14A

Definitive revised proxy soliciting materials

EDGARLink
Template 2

XFDL
Technical
Specification

DEFR14C

Definitive revised information statement
materials

EDGARLink
Template 2

XFDL
Technical
Specification

DEL AM

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

EDGARLink
Template 3

XFDL
Technical
Specification

DFAN14A

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

EDGARLink
Template 2

XFDL
Technical
Specification

DFRN14A

Revised definitive proxy statement filed by nonmanagement

EDGARLink
Template 2

XFDL
Technical
Specification

DSTRBRPT,
DSTRBRPT/A

Distribution of primary obligations Development
Bank report

EDGARLink
Template 2

XFDL
Technical
Specification

F-1, F-1/A

Registration statement for securities of certain
foreign private issuers

EDGARLink
Template 1

XFDL
Technical
Specification

February
May
20082008

3-9

EDGAR Filer Manual (Volume II)

Submission
Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

F-10, F-10/A

Registration statement for securities of certain
Canadian issuers under the Securities Act of
1933

EDGARLink
Template 1

XFDL
Technical
Specification

F-10EF

Auto effective registration statement for
securities of certain Canadian issuers under
the Securities Act of 1933

EDGARLink
Template 1

XFDL
Technical
Specification

F-10POS

Post-effective amendment to a F-10EF
registration

EDGARLink
Template 1

XFDL
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 F1

EDGARLink
Template 1

XFDL
Technical
Specification

F-3, F-3/A

Registration statement for specified
transactions by certain foreign private issuers

EDGARLink
Template 1

XFDL
Technical
Specification

F-3ASR

Automatic shelf registration statement of
securities of well-known seasoned issuers

EDGARLink
Template 1

XFDL
Technical
Specification

F-3D

Registration statement for dividend or interest
reinvestment plan securities of foreign private
issuers

EDGARLink
Template 1

XFDL
Technical
Specification

F-3DPOS

Post-Effective amendment to a F-3D
registration

EDGARLink
Template 1

XFDL
Technical
Specification

F-3MEF

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

EDGARLink
Template 1

XFDL
Technical
Specification

F-4 POS

Post-effective amendment to a F-4EF
registration

EDGARLink
Template 1

XFDL
Technical
Specification

F-4, F-4/A

Registration statement for securities issued by
foreign private issuers in certain business
combination transactions

EDGARLink
Template 1

XFDL
Technical
Specification

F-4EF

Auto effective registration statement for
securities by certain foreign private issuers in
connection with certain business combination
transactions

EDGARLink
Template 1

XFDL
Technical
Specification

F-4MEF

A new registration statement filed under Rule
462(b) to add securities to a prior related
effective registration statement filed on Form F
4

EDGARLink
Template 1

XFDL
Technical
Specification

EDGAR Filer Manual (Volume II)

3-10

February 2008
May 2008

Submission
Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

F-6 POS

Post-effective amendment to a F-6EF
registration

EDGARLink
Template 1

XFDL
Technical
Specification

F-6, F-6/A

Registration statement for American
Depositary Receipts representing securities of
certain foreign private issuers

EDGARLink
Template 1

XFDL
Technical
Specification

F-6EF

Auto effective registration statement for
American Depositary Receipts representing
securities of certain foreign private issuers

EDGARLink
Template 1

XFDL
Technical
Specification

F-7 POS

Post-effective amendment to a F-7 registration

EDGARLink
Template 1

XFDL
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
Template 1

XFDL
Technical
Specification

F-8 POS

Post-effective amendment to a F-8 registration

EDGARLink
Template 1

XFDL
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
Template 1

XFDL
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
Template 1

XFDL
Technical
Specification

F-80POS

Post-effective amendment to a F-80
registration

EDGARLink
Template 1

XFDL
Technical
Specification

F-9 POS

Post-effective amendment to a F-9EF
registration

EDGARLink
Template 1

XFDL
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
Template 1

XFDL
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
Template 1

XFDL
Technical
Specification

F-N, F-N/A

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

EDGARLink
Template 2

XFDL
Technical
Specification

February
May
20082008

3-11

EDGAR Filer Manual (Volume II)

Submission
Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

FWP

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

EDGARLink
Template 2

XFDL
Technical
Specification

F-X, F-X/A

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

EDGARLink
Template 2

XFDL
Technical
Specification

N-1, N-1/A

Initial registration statement filed on Form N-1
for open-end management investment
companies.

EDGARLink
Template 1

XFDL
Technical
Specification

N-14 8C, N-14
8C/A

Initial registration statement filed on Form N14
by closed-end investment company (business
combinations)

EDGARLink
Template 1

XFDL
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
Template 1

XFDL
Technical
Specification

N-14MEF

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

EDGARLink
Template 1

XFDL
Technical
Specification

N-18F1, N-18F1/A

Initial notification of election pursuant to Rule
18f-1 filed on Form N-18F-1

EDGARLink
Template 2

XFDL
Technical
Specification

N-1A, N-1A/A

Initial registration statement filed on Form N1A
for open-end management investment
companies

EDGARLink
Template 1

XFDL
Technical
Specification

N-2, N-2/A

Initial filing of a registration statement on Form
N-2 for closed-end investment companies

EDGARLink
Template 1

XFDL
Technical
Specification

N-23C-2,
N-23C-2/A

Notice by closed-end investment companies of
intention to call or redeem their own securities
under Investment Company Act Rule 23c-2

EDGARLink
Template 2

XFDL
Technical
Specification

N-23C3A,
N23C3A/A

Notification of periodic repurchase offer Filed
pursuant to Rule 23c-3(b) only

EDGARLink
Template 2

XFDL
Technical
Specification

N-23C3B,
N23C3B/A

Filing pursuant to Rule 23c-3(c) only on Form
N-23C-3

EDGARLink
Template 2

XFDL
Technical
Specification

N-23C3C,
N23C3C/A

Filing pursuant to Rule 23c-3(b) and (c) on
Form N-23C-3

EDGARLink
Template 2

XFDL
Technical
Specification

EDGAR Filer Manual (Volume II)

3-12

February
May 2008
2008

Submission
Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

N-27D-1,
N-27D-1/A

Accounting for segregated trust accounts on
Form N-27D-1

EDGARLink
Template 2

XFDL
Technical
Specification

N-2MEF

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

EDGARLink
Template 1

XFDL
Technical
Specification

N-3, N-3/A

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

EDGARLink
Template 1

XFDL
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
Template 3

XFDL
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
Template 3

XFDL
Technical
Specification

N-4, N-4/A

Initial registration statement on Form N-4 for
separate accounts (unit investment trusts)

EDGARLink
Template 1

XFDL
Technical
Specification

N-5, N-5/A

Registration statement for small business
investment companies

EDGARLink
Template 1

XFDL
Technical
Specification

N-54A, N-54A/A

Notification of election by business
development companies filed on Form N-54A

EDGARLink
Template 2

XFDL
Technical
Specification

N-54C, N-54C/A

Notification of withdrawal by business
development companies filed on Form N-54C

EDGARLink
Template 2

XFDL
Technical
Specification

N-6, N-6/A

Registration statement for separate accounts
(unit investment trusts)

EDGARLink
Template 1

XFDL
Technical
Specification

N-6F, N-6F/A

Notice of intent by business development
companies to elect to be subject to Sections 55
through 65 of the 1940 Act filed on Form N-6F

EDGARLink
Template 2

XFDL
Technical
Specification

N-8A, N-8A/A

Initial notification of registration under section
8(a) filed on Form N-8A

EDGARLink
Template 2

XFDL
Technical
Specification

N-8B-2, N-8B-2/A

Initial registration statement for unit investment
trusts filed on Form N-8B-2

EDGARLink
Template 2

XFDL
Technical
Specification

February
May
20082008

3-13

EDGAR Filer Manual (Volume II)

Submission
Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

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

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

EDGARLink
Template 2

XFDL
Technical
Specification

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

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

EDGARLink
Template 2

XFDL
Technical
Specification

N-8F, N-8F/A

Application for deregistration made on Form
N-8F

EDGARLink
Template 2

XFDL
Technical
Specification

N-CSR, N-CSR/A

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

EDGARLink
Template 3

XFDL
Technical
Specification

N-CSRS, NCSRS/A

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

EDGARLink
Template 3

XFDL
Technical
Specification

N-PX, N-PX/A

Annual Report of Proxy Voting Record of
Registered Management Investment
Companies filed on Form N-PX

EDGARLink
Template 3

XFDL
Technical
Specification

N-Q, N-Q/A

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

EDGARLink
Template 3

XFDL
Technical
Specification

NSAR-A, NSARA/A

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

EDGARLink
Template 3

XFDL
Technical
Specification

NSAR-AT,
NSARAT/A

Transitional semi-annual report filed on Form
N-SAR

EDGARLink
Template 3

XFDL
Technical
Specification

NSAR-B, NSARB/A

Annual report for management companies filed
on Form N-SAR

EDGARLink
Template 3

XFDL
Technical
Specification

NSAR-BT,
NSARBT/A

Transitional annual report filed on Form NSAR

EDGARLink
Template 3

XFDL
Technical
Specification

NSAR-U, NSARU/A

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

EDGARLink
Template 3

XFDL
Technical
Specification

NT 10-K, NT 10K/A

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

EDGARLink
Template 3

XFDL
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
Template 3

XFDL
Technical
Specification

EDGAR Filer Manual (Volume II)

3-14

February
2008
May 2008

Submission
Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

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
Template 3

XFDL
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
Template 3

XFDL
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
Template 3

XFDL
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
Template 3

XFDL
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
Template 3

XFDL
Technical
Specification

NT-NSAR,
NTNSAR/A

Notice under Exchange Act Rule 12b-25 of
inability to timely file Form N-SAR

EDGARLink
Template 3

XFDL
Technical
Specification

POS 8C

Post-effective amendment filed under the 1933
Act only or under both the 1933 and 1940 Acts
pursuant to Section 8(c) of the 1933 Act by
closed-end investment companies (this filing
cannot be submitted as a 1940 Act only filing)

EDGARLink
Template 3

XFDL
Technical
Specification

POS AM

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

EDGARLink
Template 1

XFDL
Technical
Specification

POS AMI

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

EDGARLink
Template 3

XFDL
Technical
Specification

POSASR

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

EDGARLink
Template 1

XFDL
Technical
Specification

POS EX

Post-effective amendment filed solely to add
exhibits to a registration statement

EDGARLink
Template 3

XFDL
Technical
Specification

POS462B

Post-effective amendment to Securities Act
Rule 462(b) registration statement

EDGARLink
Template 3

XFDL
Technical
Specification

POS462C

Post-effective amendment to a registration
statement filed under Rule 462(c)

EDGARLink
Template 3

XFDL
Technical
Specification

February
May 20082008

3-15

EDGAR Filer Manual (Volume II)

Submission
Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

PRE 14A

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

EDGARLink
Template 2

XFDL
Technical
Specification

PRE 14C

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

EDGARLink
Template 2

XFDL
Technical
Specification

PREC14A

Preliminary proxy statement in connection with
contested solicitations

EDGARLink
Template 2

XFDL
Technical
Specification

PREC14C

Preliminary information statements - contested
solicitations

EDGARLink
Template 2

XFDL
Technical
Specification

PREM14A

Preliminary proxy statements relating to
merger or acquisition

EDGARLink
Template 2

XFDL
Technical
Specification

PREM14C

Preliminary information statements relating to
merger or acquisition

EDGARLink
Template 2

XFDL
Technical
Specification

PREN14A

Preliminary proxy statement filed by nonmanagement

EDGARLink
Template 2

XFDL
Technical
Specification

PRER14A

Preliminary revised proxy soliciting materials

EDGARLink
Template 2

XFDL
Technical
Specification

PRER14C

Preliminary revised information statements

EDGARLink
Template 2

XFDL
Technical
Specification

PRRN14A

Revised preliminary proxy statement filed by
non-management

EDGARLink
Template 2

XFDL
Technical
Specification

PX14A6G

Notice of exempt solicitation

EDGARLink
Template 2

XFDL
Technical
Specification

PX14A6N

Notice of exempt solicitation for the purpose of
determining whether to solicit proxies,
consents, or authorizations in opposition to a
proposed roll-up transaction filed pursuant to
Rule 14a6(g) of the Securities Exchange Act of
1934

EDGARLink
Template 2

XFDL
Technical
Specification

QRTLYRPT,
QRTLYRPT/A

Periodic Development Bank filing, submitted
quarterly

EDGARLink
Template 2

XFDL
Technical
Specification

EDGAR Filer Manual (Volume II)

3-16

February
May 2008
2008

Submission
Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

RW

Registration Withdrawal Request

EDGARLink
Template 3

XFDL
Technical
Specification

RW WD

Withdrawal of a Registration Withdrawal
Request

EDGARLink
Template 1

XFDL
Technical
Specification

S-1, S-1/A

General form of registration statement for all
companies including face-amount certificate
companies

EDGARLink
Template 1

XFDL
Technical
Specification

S-11, S-11/A

Registration statement for securities to be
issued by real estate companies

EDGARLink
Template 1

XFDL
Technical
Specification

S-11MEF

A new registration statement filed under Rule
462(b) to add securities to a prior related
effective registration statement filed on Form
S 11

EDGARLink
Template 1

XFDL
Technical
Specification

S-1MEF

A new registration statement filed under Rule
462(b) to add securities to a prior related
effective registration statement filed on Form
S1

EDGARLink
Template 1

XFDL
Technical
Specification

S-20, S-20/A

Registration statement for standardized options

EDGARLink
Template 1

XFDL
Technical
Specification

S-3, S-3/A

Registration statement for specified
transactions by certain issuers

EDGARLink
Template 1

XFDL
Technical
Specification

S-3ASR

Automatic shelf registration statement of
securities of well-known seasoned issuers

EDGARLink
Template 1

XFDL
Technical
Specification

S-3D

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

EDGARLink
Template 1

XFDL
Technical
Specification

S-3DPOS

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

EDGARLink
Template 1

XFDL
Technical
Specification

S-3MEF

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

EDGARLink
Template 1

XFDL
Technical
Specification

S-4 POS

Post-effective amendment to a S-4EF
registration statement

EDGARLink
Template 1

XFDL
Technical
Specification

February 2008
May 2008

3-17

EDGAR Filer Manual (Volume II)

Submission
Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

S-4, S-4/A

Registration of securities issued in business
combination transactions

EDGARLink
Template 1

XFDL
Technical
Specification

S-4EF

Auto effective registration statement for
securities issued in connection with the
formation of a bank or savings and loan
holding company in compliance with General
Instruction G

EDGARLink
Template 1

XFDL
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
Template 1

XFDL
Technical
Specification

S-6, S-6/A

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

EDGARLink
Template 1

XFDL
Technical
Specification

S-8

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

EDGARLink
Template 1

XFDL
Technical
Specification

S-8 POS

Post-effective amendment to a S-8 registration
statement

EDGARLink
Template 1

XFDL
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
Template 1

XFDL
Technical
Specification

SB-1, SB-1/A

Optional form for the initial registration of
securities to be sold to the public by small
business issuers

EDGARLink
Template 1

XFDL
Technical
Specification

EDGARLink
Template 1

XFDL
Technical
Specification

EDGARLink
Template 1

XFDL
Technical
Specification

Will no longer be accepted as of February 4,
2008
SB-1MEF

A new registration statement filed under Rule
462(b) to add securities to a prior related
effective registration statement filed on Form
SB-1
Will no longer be accepted as February 4,
2008

SB-2, SB-2/A

Optional form for the registration of securities
to be sold to the public by small business
issuers
Will no longer be accepted as of February 4,
2008

EDGAR Filer Manual (Volume II)

3-18

February
May 2008
2008

Submission
Type
SB-2MEF

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

A new registration statement filed under Rule
462(b) to add securities to a prior related
effective registration statement filed on Form
SB 2

EDGARLink
Template 1

XFDL
Technical
Specification

Will no longer be accepted as of February 4,
2008
S-BMEF

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

EDGARLink
Template 1

XFDL
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
Template 2

XFDL
Technical
Specification

SC 13E1, SC
13E1/A

Schedule 13-E1 statement of issuer required
by Rule 13e-1

EDGARLink
Template 2

XFDL
Technical
Specification

SC 13E3, SC
13E3/A

Schedule filed to report going private
transactions

EDGARLink
Template 2

XFDL
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
Template 2

XFDL
Technical
Specification

SC 14D9,
SC 14D9/A

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

EDGARLink
Template 2

XFDL
Technical
Specification

SC 14F1, SC
14F1/A

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

EDGARLink
Template 2

XFDL
Technical
Specification

SC TO-C

Written communication relating to an issuer or
third party tender offer

EDGARLink
Template 2

XFDL
Technical
Specification

SC TO-I,
SC TO-I/A

Issuer tender offer statement

EDGARLink
Template 2

XFDL
Technical
Specification

SC TO-T,
SC TO-T/A

Third party tender offer statement

EDGARLink
Template 2

XFDL
Technical
Specification

SC13E4F,
SC13E4F/A

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

EDGARLink
Template 2

XFDL
Technical
Specification

SC14D1F,
SC14D1F/A

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

EDGARLink
Template 2

XFDL
Technical
Specification

February
May 20082008

3-19

EDGAR Filer Manual (Volume II)

Submission
Type

Description

Tool/
Template
Number

FilerConstructed
Form Spec.

SC14D9C

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

EDGARLink
Template 2

XFDL
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
Template 2

XFDL
Technical
Specification

SP 15D2,
SP 15D2/A

Special Financial Report filed under Rule 15d-2

EDGARLink
Template 3

XFDL
Technical
Specification

SUPPL

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

EDGARLink
Template 2

XFDL
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
Template 1

XFDL
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
Template 1

XFDL
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

UNDER,
UNDER/A

Initial undertaking to file reports

EDGARLink
Template 3

XFDL
Technical
Specification

3.2 Electronic Form Types by Act
This index will allow you to use the filing type to identify the EDGAR submission type and
finally the tool or template you can use to either create or assemble the filing. Each of the tools
and templates are covered in detail in separate sections of this document. The final column
should only be used by filers or software developers who construct filings outside of the SEC
EDGAR Filer Manual (Volume II)

3-20

February
May 2008
2008

supplied tools. EDGARLite templates can be downloaded from the OnlineForms/XML Website.
Versions of the EDGARLink templates and software are found on the EDGAR Filing Website.
Filer-Constructed Technical Specifications are available on the SEC’s Public Website. Please
refer to these sites to determine if your version of the tool, template, or document is correct.
Note:

Tools, templates, and documents will no longer be marked with a version number
relating to a software release. Some tools may be specific to submission types that
remain the same through several releases, instead of being updated with each new
release. Therefore each tool, template and manual will now be marked with its own
version number, specific to that particular item. You can find the most current versions
on the website from which the tools, templates, and manuals are downloaded. Be sure to
verify that you have the current version before filing.

Issuers are advised that filings with the submission types listed below will receive a "Filing
Date" identical to the EDGAR "Received Date" even if received after 5:30 p.m. Eastern time,
which is different than normal filings. In addition these filings will be disseminated until 10:00
p.m. Eastern time. Normally filings received after 5:30 p.m. Eastern time will receive a filing
date of the next business day and will not be disseminated until the next business day.
The following submission types will receive a filing date identical to the EDGAR "Received
Date" and will be disseminated until 10:00 p.m. Eastern time:
3
5
F-3MEF
POS462B
S-3MEF
S-BMEF

3/A
5/A
F-4MEF
S-11MEF
S-4MEF

4
F-1MEF
N-14MEF
S-1MEF
SB-1MEF

4/A
N-2MEF
SB-2MEF

You should send any fee payment made for the above registration statements to the
Commission's lockbox. Additionally, you should submit any fee payment certification that you
are making for the above-listed submission types, pursuant to Rule 111(b), using the
"CORRESP" submission type.

February
May
20082008

3-21

EDGAR Filer Manual (Volume II)

Electronic Form Types by Act
List of Tables
Table 3-1: Securities Act Submission Types Accepted by EDGAR......................................... 3-23
Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements
Filed Pursuant to Section 14 Submission Types Accepted by EDGAR ................. 3-32
Table 3-3: Securities Exchange Act - Registration and Report Submission Types
Accepted by EDGAR............................................................................................... 3-35
Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR. .............................. 3-44
Table 3-5: Investment Company Submission Types Accepted by EDGAR ............................ 3-46
Table 3-6: Development Bank Submission Types Accepted by EDGAR ................................ 3-62
Table 3-7 Correspondence Submission Types. ........................................................................ 3-62

EDGAR Filer Manual (Volume II)

3-22

February
May2008
2008

Table 3-1: Securities Act Submission Types Accepted by EDGAR
CFR Form/
Schedule/
Rule
F-1

F-1MEF

F-3

F-3MEF

F-4

February
May
2008 2008

Description

Submission
Type

Tool/
Template
Number

FilerConstructed
Form Spec.

Registration statement for securities of
certain foreign private issuers

F-1

EDGARLink
Template 1

XFDL Technical
Specification

Pre-effective amendment

F-1/A

EDGARLink
Template 1

XFDL Technical
Specification

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

POS AM

EDGARLink
Template 1

XFDL Technical
Specification

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

F-1MEF

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to Securities
Act Rule 462(b) registration statement

POS462B

EDGARLink
Template 3

XFDL Technical
Specification

Registration statement for specified
transactions by certain foreign private
issuers

F-3

EDGARLink
Template 1

XFDL Technical
Specification

Pre-Effective amendment

F-3/A

EDGARLink
Template 1

XFDL Technical
Specification

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

POS AM

EDGARLink
Template 1

XFDL Technical
Specification

Automatic shelf registration statement
of securities of well-known seasoned
issuers

F-3ASR

EDGARLink
Template 1

XFDL Technical
Specification

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

POSASR

EDGARLink
Template 1

XFDL Technical
Specification

Registration statement for dividend or
interest reinvestment plan securities of
foreign private issuers

F-3D

EDGARLink
Template 1

XFDL Technical
Specification

Post-Effective amendment to a F-3D
registration

F-3DPOS

EDGARLink
Template 1

XFDL Technical
Specification

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

F-3MEF

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to Securities
Act Rule 462(b) registration statement

POS462B

EDGARLink
Template 3

XFDL Technical
Specification

Registration statement for securities
issued by foreign private issuers in
certain business combination

F-4

EDGARLink
Template 1

XFDL Technical
Specification

3-23

EDGAR Filer Manual (Volume II)

CFR Form/
Schedule/
Rule

Description

Submission
Type

Tool/
Template
Number

FilerConstructed
Form Spec.

Pre-effective amendment

F-4/A

EDGARLink
Template 1

XFDL Technical
Specification

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

POS AM

EDGARLink
Template 1

XFDL Technical
Specification

Auto effective registration statement
for securities by certain foreign private
issuers in connection with certain
business combination transactions

F-4EF

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to a F-4EF
registration

F-4 POS

EDGARLink
Template 1

XFDL Technical
Specification

A new registration statement filed
under Rule 462(b) to add securities to
a prior related effective registration
statement filed on Form F-4

F-4MEF

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to Securities
Act Rule 462(b) registration statement

POS462B

EDGARLink
Template 3

XFDL Technical
Specification

Registration statement for American
Depositary Receipts representing
securities of certain foreign private
issuers

F-6

EDGARLink
Template 1

XFDL Technical
Specification

Pre-effective amendment

F-6/A

EDGARLink
Template 1

XFDL Technical
Specification

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

POS AM

EDGARLink
Template 1

XFDL Technical
Specification

Auto effective registration statement
for American Depositary Receipts
representing securities of certain
foreign private issuers

F 6EF

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to a F-6EF
registration

F-6 POS

EDGARLink
Template 1

XFDL Technical
Specification

Registration statement for securities of
certain Canadian issuers offered for
cash upon the exercise of rights
granted to existing security holders
under the Securities Act of 1933

F-7

EDGARLink
Template 1

XFDL Technical
Specification

Pre-effective amendment

F-7/A

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to a F-7
registration

F-7 POS

EDGARLink
Template 1

XFDL Technical
Specification

transactions

F-4MEF

F-6

F-7

EDGAR Filer Manual (Volume II)

3-24

February
May 2008
2008

CFR Form/
Schedule/
Rule
F-8

F-9

F-10

F-80

February
May 20082008

Description

Submission
Type

Tool/
Template
Number

FilerConstructed
Form Spec.

Registration statement for securities of
certain Canadian issuers to be issued in
exchange offers or a business
combination under the Securities Act
of 1933

F-8

EDGARLink
Template 1

XFDL Technical
Specification

Pre-effective amendment

F-8/A

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to a F-8
registration

F-8 POS

EDGARLink
Template 1

XFDL Technical
Specification

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

F-9

EDGARLink
Template 1

XFDL Technical
Specification

Pre-effective amendment

F-9/A

EDGARLink
Template 1

XFDL Technical
Specification

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

F-9EF

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to a F-9EF
registration

F-9 POS

EDGARLink
Template 1

XFDL Technical
Specification

Registration statement for securities of
certain Canadian issuers under the
Securities Act of 1933

F-10

EDGARLink
Template 1

XFDL Technical
Specification

Pre-effective amendment

F-10/A

EDGARLink
Template 1

XFDL Technical
Specification

Auto effective registration statement
for securities of certain Canadian
issuers under the Securities Act of
1933

F-10EF

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to a F10EF
registration

F-10POS

EDGARLink
Template 1

XFDL Technical
Specification

Registration of securities of certain
Canadian issuers to be issued in
exchange offers or a business
combination under the Securities Act
of 1933

F-80

EDGARLink
Template 1

XFDL Technical
Specification

Pre-effective amendment

F-80/A

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to a F-80
registration

F-80POS

EDGARLink
Template 1

XFDL Technical
Specification

3-25

EDGAR Filer Manual (Volume II)

CFR Form/
Schedule/
Rule
S-1

S-1MEF

S-3

S-3MEF

S-4

Description

Submission
Type

Tool/
Template
Number

FilerConstructed
Form Spec.

General form of registration statement
for all companies including faceamount certificate companies

S-1

EDGARLink
Template 1

XFDL Technical
Specification

Pre-effective amendment

S-1/A

EDGARLink
Template 1

XFDL Technical
Specification

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

POS AM

EDGARLink
Template 1

XFDL Technical
Specification

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

S-1MEF

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to Securities
Act Rule 462(b) registration statement

POS462B

EDGARLink
Template 3

XFDL Technical
Specification

Registration statement for specified
transactions by certain issuers

S-3

EDGARLink
Template 1

XFDL Technical
Specification

Pre-effective amendment

S-3/A

EDGARLink
Template 1

XFDL Technical
Specification

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

POS AM

EDGARLink
Template 1

XFDL Technical
Specification

Automatic shelf registration statement
of securities of well-known seasoned
issuers

S-3ASR

EDGARLink
Template 1

XFDL Technical
Specification

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

POSASR

EDGARLink
Template 1

XFDL Technical
Specification

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

S-3D

EDGARLink
Template 1

XFDL Technical
Specification

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

S-3DPOS

EDGARLink
Template 1

XFDL Technical
Specification

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

S-3MEF

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to Securities
Act Rule 462(b) registration statement

POS462B

EDGARLink
Template 3

XFDL Technical
Specification

Registration of securities issued in
business combination transactions

S-4

EDGARLink
Template 1

XFDL Technical
Specification

Pre-effective amendment

S-4/A

EDGARLink
Template 1

XFDL Technical
Specification

EDGAR Filer Manual (Volume II)

3-26

February
May2008
2008

CFR Form/
Schedule/
Rule

S-4MEF

S-8

S-11

S-11MEF

S-20

February
May
20082008

Description

Submission
Type

Tool/
Template
Number

FilerConstructed
Form Spec.

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

POS AM

EDGARLink
Template 1

XFDL Technical
Specification

Auto effective registration statement
for securities issued in connection with
the formation of a bank or savings and
loan holding company in compliance
with General Instruction G

S-4EF

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to a S-4EF
registration statement

S-4 POS

EDGARLink
Template 1

XFDL Technical
Specification

A new registration statement filed
under Rule 462(b) to add securities to
a prior related effective registration
statement filed on Form S-4

S-4MEF

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to Securities
Act Rule 462(b) registration statement

POS462B

EDGARLink
Template 3

XFDL Technical
Specification

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

S-8

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to a S-8
registration statement

S-8 POS

EDGARLink
Template 1

XFDL Technical
Specification

Registration statement for securities to
be issued by real estate companies

S-11

EDGARLink
Template 1

XFDL Technical
Specification

Pre-effective amendment

S-11/A

EDGARLink
Template 1

XFDL Technical
Specification

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

POS AM

EDGARLink
Template 1

XFDL Technical
Specification

A new registration statement filed
under Rule 462(b) to add securities to
a prior related effective registration
statement filed on Form S-11

S-11MEF

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to Securities
Act Rule 462(b) registration statement

POS462B

EDGARLink
Template 3

XFDL Technical
Specification

Registration statement for standardized
options

S-20

EDGARLink
Template 1

XFDL Technical
Specification

Pre-effective amendment

S-20/A

EDGARLink
Template 1

XFDL Technical
Specification

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

POS AM

EDGARLink
Template 1

XFDL Technical
Specification

3-27

EDGAR Filer Manual (Volume II)

CFR Form/
Schedule/
Rule
S-B

S-BMEF

SB-1

Description

Submission
Type

Tool/
Template
Number

FilerConstructed
Form Spec.

Registration statement for securities of
foreign governments and subdivisions
thereof under the Securities Act of
1933 (Schedule B)

S-B

EDGARLink
Template 1

XFDL Technical
Specification

Pre-effective amendment

S-B/A

EDGARLink
Template 1

XFDL Technical
Specification

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

POS AM

EDGARLink
Template 1

XFDL Technical
Specification

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

S-BMEF

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to Securities
Act Rule 462(b) registration statement

POS462B

EDGARLink
Template 3

XFDL Technical
Specification

Optional form for the initial
registration of securities to be sold to
the public by small business issuers

SB-1

EDGARLink
Template 1

XFDL Technical
Specification

SB-1/A

EDGARLink
Template 1

XFDL Technical
Specification

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

POS AM

EDGARLink
Template 1

XFDL Technical
Specification

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

SB-1MEF

EDGARLink
Template 1

XFDL Technical
Specification

Post-effective amendment to Securities
Act Rule 462(b) registration statement

POS462B

EDGARLink
Template 3

XFDL Technical
Specification

Optional form for the registration of
securities to be sold to the public by
small business issuers
Will no longer be accepted as of
February 4, 2008

SB-2

EDGARLink
Template 1

XFDL Technical
Specification

Pre-effective amendment
Will no longer be accepted as of
February 4, 2008

SB-2/A

EDGARLink
Template 1

XFDL Technical
Specification

Will no longer be accepted as of
February 4, 2008
Pre-effective amendment
Will no longer be accepted as of
February 4, 2008

SB-1MEF

Will no longer be accepted as of
February 4, 2008

SB-2

EDGAR Filer Manual (Volume II)

3-28

February
May2008
2008

CFR Form/
Schedule/
Rule

Submission
Type

Tool/
Template
Number

FilerConstructed
Form Spec.

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

POS AM

EDGARLink
Template 1

XFD

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/agency%3Asec%3Acd092d750554da48. Public record. Not legal advice.