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SEC Adopts Updated EDGAR Filer Manual (Volumes I and II)
Practical Law Legal Update w-000-4988 (Approx. 4 pages)
SEC Adopts Updated EDGAR Filer Manual (Volumes I and II)
by Practical Law Corporate & Securities
| Published on 06 Aug 2015 • USA (National/Federal) |
The SEC updated Volumes I and II of its EDGAR Filer Manual.
On August 3, 2015, the SEC issued a final rule adopting revisions to Volumes I and II of the EDGAR Filer Manual. The revised Manual introduces the following changes:
- Form NRSRO filers must now use the following new submission form types to electronically submit their filings:
- NRSRO-UPD - Update of Registration;
- NRSRO-CE - Annual Certification;
- NRSRO-CE/A - Amendment for Annual Certification;
- NRSRO-FR - Annual Financial Reports;
- NRSRO-FR/A - Amendment for Annual Financial Reports;
- NRSRO-WCLS - Withdrawal from Credit Rating Class; and
- NRSRO-WREG - Withdrawal from Registration.
- The following new applicant types are now available for filers applying for EDGAR access:
- Nationally Recognized Statistical Rating Organization;
- Security-Based Swap Data Repository;
- Security-Based Swap Dealer and Major Security-Based Swap Participant; and
- Security-Based Swap Execution Facility.
- Revisions have been made to Chapter 3 (Index to Forms) of Volume II to update submission form types SF-1 and SF-3 in Table 3-1 (Securities Act Submission Types Accepted by EDGAR).
- Revisions have been made to Volume I for Section 508 compliance.
- Revisions have been made to address certain software changes previously made on EDGAR.
To learn more about filing documents with the SEC, see Practice Note, Filing Documents with the SEC.