EDGAR Form D XML Technical Specification (Version 6.3.0)
Implementation Date: September 28, 2009
The EDGAR Form D XML Technical Specification provides, to those filers that are interested, a basis for creating XML Form D submissions without the use of the EDGAR OnlineForms/XML Website Form D application. Software developers, working on behalf of filers, can use this specification to construct software that will generate an XML Form D submission that can be successfully parsed by the EDGAR system.
EDGAR Release 9.17 introduces the following change to the EDGAR Form D XML Technical Specification (Version 6.3.0):
- The “<previousAccessionNumber>” element is now mandatory when the value provided for the “<submissionType>” element is “D/A” and the value provided for the “<isAmendment>” element is “true”.
- The Submission Contact information is now validated to ensure it is provided and does not consist only of whitespace.
- All email address values are being validated to ensure they follow the correct standard for an internet email address and do not only consist of whitespace.
- A new element, “<edgarPreviousNameList>” has been created to capture up to three of the previous names currently on file within EDGAR. The value(s) for this element will be pulled from the EDGAR database if it exists. The filer should not provide any values for this element.
- The “<issuerPreviousNameList>” element has been modified to allow only three previous names. This section is to be used to indicate any previous names that EDGAR does not currently have on file. Duplicate entries will be removed.
- The “<middleName>” element of the “<NAME_TYPE>” type is now optional.
- The “<over100IssuerFlag>” element can only be provided when all 100 issuers have been listed in the submission.
- The “<over100PersonsFlag>” element can only be provided when all 100 related persons have been listed in the submission.
- The “<over100RecipientFlag>” element can only be provided when all 100 sales recipients have been listed in the submission.
- The “<issuerName>” element of the “<SIGNATURE_TYPE>” will be validated against the values EDGAR has in the database. If there are any inconsistencies, the submission will be suspended.
- The “<signatureName>” element will no longer accept values that consist only of whitespace.
- The “<nameOfSigner>” element will no longer accept values that consist only of whitespace.
- The “<signatureTitle>” element will no longer accept values that consist only of whitespace.
- The “<signatureDate>” element will be validated to ensure the value provided is not a future date.
- The validation routines for all of the “<STATE_COUNTRY_CODE>” types will no longer accept values that consist only of whitespace.
http://www.sec.gov/info/edgar/formdxmltechspec.htm
