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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 21)
Updated: May 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 Regulation A submission form types DOS, DOS/A, DOSLTR, 1-A, 1-A/A, 1-A POS, 1-A-W, 1-A-W/A, 253G1, 253G2, 253G3, 253G4, 1-K, 1-K/A, 1-SA, 1-SA/A, 1-U, 1-U/A, 1-Z, 1-Z/A, 1-Z-W, and 1-Z-W/A.
     
    • New filers will now be able to select the “Regulation A” option on the Form ID application to indicate that they are submitting an application for EDGAR access to file draft offering statements. If filers have an assigned Central Index Key (CIK), they must use the existing CIK to file draft offering statements.
       
    • Regulation A submission form types can be accessed from the “File Regulation A Forms” screen. This screen can be accessed by selecting the ‘Regulation A’ or ‘Draft Offering Statement’ link on the EDGAR Filing Website. Alternatively, this screen can be accessed by selecting the ‘REG A’ link on the “EDGARLink Online Submission Type Selection” screen.
       
    • Issuers who qualify to submit draft offering statements under Regulation A must prepare and submit their draft offering statements using submission form types DOS and DOS/A. Issuers must submit correspondences related to draft offering statements using the submission type, “Draft Offering Statement Letter” (DOSLTR).
       
    • Issuers who submit draft offering statements for non-public review will have the ability to publicly disseminate previously submitted drafts by selecting the ‘Disseminate Draft Offering Statement’ link on the “File Regulation A Forms” screen of the EDGAR Filing Website.
       
    • Issuers may construct XML submissions for Regulation A submission form types with the exception of DOS, DOS/A, and DOSLTR. Issuers must follow the “EDGARLink Online XML Technical Specification” document to construct XML submissions for submission form types 1-A-W, 1-A-W/A, 1-SA, 1-SA/A, 1-U, 1-U/A, 253G1, 253G2, 253G3, 253G4, 1-Z-W, and 1-Z-W/A. Issuers must follow the “EDGAR REG A XML Technical Specification” document to construct XML submissions for submission form types 1-A, 1-A/A, 1-A POS, 1-K, 1-K/A, 1-Z, and 1-Z/A. The Technical Specification documents are available on the SEC’s Public Website (http://www.sec.gov/info/edgar.shtml).
       

EDGAR Filer Manual (Volume II) EDGAR Filing (Version 31)
Updated: May 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 Regulation A submission form types DOS, DOS/A, DOSLTR, 1-A, 1-A/A, 1-A POS, 1-A-W, 1-A-W/A, 253G1, 253G2, 253G3, 253G4, 1-K, 1-K/A, 1-SA, 1-SA/A, 1-U, 1-U/A, 1-Z, 1-Z/A, 1-Z-W, and 1-Z-W/A.
     
    • New filers will now be able to select the “Regulation A” option on the Form ID application to indicate that they are submitting an application for EDGAR access to file draft offering statements. If filers have an assigned Central Index Key (CIK), they must use the existing CIK to file draft offering statements.
       
    • Regulation A submission form types can be accessed from the “File Regulation A Forms” screen. This screen can be accessed by selecting the ‘Regulation A’ or ‘Draft Offering Statement’ link on the EDGAR Filing Website. Alternatively, this screen can be accessed by selecting the ‘REG A’ link on the “EDGARLink Online Submission Type Selection” screen.
       
    • Issuers who qualify to submit draft offering statements under Regulation A must prepare and submit their draft offering statements using submission form types DOS and DOS/A. Issuers must submit correspondences related to draft offering statements using the submission type, “Draft Offering Statement Letter” (DOSLTR).
       
    • Issuers who submit draft offering statements for non-public review will have the ability to publicly disseminate previously submitted drafts by selecting the ‘Disseminate Draft Offering Statement’ link on the “File Regulation A Forms” screen of the EDGAR Filing Website.
       
    • Issuers may construct XML submissions for Regulation A submission form types with the exception of DOS, DOS/A, and DOSLTR. Issuers must follow the “EDGARLink Online XML Technical Specification” document to construct XML submissions for submission form types 1-A-W, 1-A-W/A, 1-SA, 1-SA/A, 1-U, 1-U/A, 253G1, 253G2, 253G3, 253G4, 1-Z-W, and 1-Z-W/A. Issuers must follow the “EDGAR REG A XML Technical Specification” document to construct XML submissions for submission form types 1-A, 1-A/A, 1-A POS, 1-K, 1-K/A, 1-Z, and 1-Z/A. The Technical Specification documents are available on the SEC’s Public Website (http://www.sec.gov/info/edgar.shtml).
       

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: 05/11/2015