SEC Releases Updated Draft EDGAR Filer Manual (Volumes I and II)

by Practical Law Corporate & Securities

Published on 18 Mar 2015 • USA (National/Federal)

The SEC released updated drafts of Volumes I and II of the EDGAR Filer Manual to reflect changes scheduled to be implemented on April 13, 2015.

On March 13, 2015, the SEC released updated drafts of Volume I and Volume II of its EDGAR Filer Manual, which outlines the procedures for submitting documents to the SEC in electronic format. The SEC also released a draft of EDGAR Form SDR - XML Technical Specification (Version 1.0).

If approved, the revised Manual will introduce the following changes:

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.
The screen will also be updated to include a 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 will be removed.
EDGAR will be updated to add new submission form types SDR, SDR/A, SDR-A and SDR-W. Applicants may construct XML submissions for these submission types by following the EDGAR SDR XML Technical Specification document.
Submission form types SDR, SDR/A, SDR-A and SDR-W will include a check box where applicants can request confidential treatment.

If the drafts are approved, the changes to EDGAR will be implemented on April 13, 2015.

In addition, the following changes were introduced on March 9, 2015:

To learn more about filing documents with the SEC, see Practice Note, Filing Documents with the SEC.

SEC Releases Updated Draft EDGAR Filer Manual (Volumes I and II) | Practical Law