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EDGAR Filer Manual (Volumes I - III)

The current version of the EDGAR Filer Manual Volumes I - III can be downloaded from the links below.

EDGAR Filer Manual (Volume I) General Information (Version 20)
Updated: April 2015

Volume I, General Information, covers the EDGAR application process, outlines how to keep company data current and provides a brief introduction to the filing process. Volume I is intended to be a reference for those that need to obtain EDGAR access, those that are new to EDGAR and those that are responsible for keeping company information current.

Volume I was revised to support:

  • EDGAR will be updated to add new submission form types SDR, SDR/A, SDR-A, and SDR-W. These submission form types can be accessed by selecting the 'File SDR' link on the EDGAR Filing Website. Additionally, applicants may construct XML submissions for these submission types by following the "EDGAR SDR XML Technical Specification" document available on the SEC's Public Website (http://www.sec.gov/info/edgar.shtml).
    • Submission form types SDR, SDR/A, SDR-A, and SDR-W will include the "Request Confidentiality" check box to allow applicants to select which information to request confidential treatment. After a Form SDR is submitted, SEC staff will review the submission and make a determination of whether the information for which confidential treatment is requested should be made public. EDGAR will disseminate only the content and attached exhibits of the submission that the SEC staff has determined to be public.
  • The "Form ID Application Confirmation" screen will display four additional labels: "Signature of Authorized Person," "Printed Name of Signature," "Title of Person Signing," and "Notary Signature & Seal to be Placed Here." This screen will also be updated to include a "Print Window" button to print the completed online Form ID application. The printed application can be signed and notarized by the filer to serve as the authentication document when applying for EDGAR access.
  • All references to the Paper Form ID have been removed from the Filer Manual. Filers can print the electronic Form ID and use this as the authentication document as explained above.
  • EDGAR was updated to support the US GAAP 2015 Taxonomy. Please see http://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete listing of supported standard taxonomies.
  • Item 1 "Identifying Information" on submission type MA-A was updated for the following question: "Changes: Are there any changes in this annual update to information provided in the municipal advisor's most recent Form MA, other than the updated Execution Page?" If filers select "No" as a response to the question, then all fields will be disabled on submission type MA-A with the exception of "Execution" and "Filer Information" tabs and the "Fiscal Year End Information" field on Item 1. Alternatively, if filers select "Yes" to the question, then they must update applicable items on submission type MA-A.

EDGAR Filer Manual (Volume II) EDGAR Filing (Version 30)
Updated: April 2015

EDGAR Filer Manual (Volume II), EDGAR Filing, focuses entirely on the filing process. It illustrates each step of the process to submit an electronic submission and helps filers understand the tools provided by the SEC for constructing and transmitting those submissions. This volume is intended to be a reference for those that are responsible for submitting filings to the SEC via the EDGAR system.

Volume II was revised to support:

  • EDGAR will be updated to add new submission form types SDR, SDR/A, SDR-A, and SDR-W. These submission form types can be accessed by selecting the 'File SDR' link on the EDGAR Filing Website. Additionally, applicants may construct XML submissions for these submission types by following the "EDGAR SDR XML Technical Specification" document available on the SEC's Public Website (http://www.sec.gov/info/edgar.shtml).
    • Submission form types SDR, SDR/A, SDR-A, and SDR-W will include the "Request Confidentiality" check box to allow applicants to select which information to request confidential treatment. After a Form SDR is submitted, SEC staff will review the submission and make a determination of whether the information for which confidential treatment is requested should be made public. EDGAR will disseminate only the content and attached exhibits of the submission that the SEC staff has determined to be public.
  • The "Form ID Application Confirmation" screen will display four additional labels: "Signature of Authorized Person," "Printed Name of Signature," "Title of Person Signing," and "Notary Signature & Seal to be Placed Here." This screen will also be updated to include a "Print Window" button to print the completed online Form ID application. The printed application can be signed and notarized by the filer to serve as the authentication document when applying for EDGAR access.
  • All references to the Paper Form ID have been removed from the Filer Manual. Filers can print the electronic Form ID and use this as the authentication document as explained above.
  • EDGAR was updated to support the US GAAP 2015 Taxonomy. Please see http://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete listing of supported standard taxonomies.
  • Item 1 "Identifying Information" on submission type MA-A was updated for the following question: "Changes: Are there any changes in this annual update to information provided in the municipal advisor's most recent Form MA, other than the updated Execution Page?" If filers select "No" as a response to the question, then all fields will be disabled on submission type MA-A with the exception of "Execution" and "Filer Information" tabs and the "Fiscal Year End Information" field on Item 1. Alternatively, if filers select "Yes" to the question, then they must update applicable items on submission type MA-A.

EDGAR Filer Manual (Volume III) N-SAR Supplement (Version 4)
Effective Date: October 2014

EDGAR Filer Manual (Volume III), N-SAR Supplement, is the guide for preparing the electronic submission of Form N-SAR.

Volume III was revised to support the following changes to EDGAR:

  • The Login and Frequently Asked Questions (FAQ) screens for all EDGAR websites, the EDGAR Portal, and the EDGAR Company Database will be updated to specify Internet Explorer 8.0 as the recommended browser and Firefox 24.x as an additionally compatible browser.
  • Section 2.1 of the "EDGAR Filer Manual, Volume III: N-SAR Supplement" has been revised to update the N-SAR hardware and software requirements. (Note: The procedure for filing Form N-SAR, the Semi-Annual Report for Registered Investment Companies has not changed.)

 

 

http://www.sec.gov/info/edgar/edmanuals.htm


Modified: 04/13/2015