Announcement

EDGAR Release 18.4 – Phase 1 Software Upgrade

Dec. 14, 2018

On December 17, 2018, the following changes will be made to the EDGAR Filer Manual as part of EDGAR Release 18.4 – Phase 1:

  • In Release No. 34-83663 (83 FR 38768) adopted July 18, 2018, the Commission adopted new Form ATS-N, which will require alternative trading systems (ATSs) that trade National Market System (NMS) stocks (NMS Stock ATS) to disclose information about the broker-dealer that operates the ATS (Broker-Dealer Operator), how the ATS operates, and the ATS-related activities of the Broker-Dealer Operator and its affiliates. EDGAR will be updated to add the following new submission form types to EDGAR Online Forms:
    • ATS-N: Initial Form ATS-N (Rule 304(a)(1)(i))
    • ATS-N/MA: Material Amendment (Rule 304(a)(2)(i)(A))
    • ATS-N/UA: Updating Amendment (Rule 304(a)(2)(i)(B))
    • ATS-N/CA: Correcting Amendment (Rule 304(a)(2)(i)(C))
    • ATS-N/OFA: Order Display and Fair Access Amendment (Rule 304(a)(2)(i)(D))
    • ATS-N-C: Notice of Cessation (Rule 304(a)(3))
    • ATS-N-W: Withdrawal of Form ATS-N filing

    Pursuant to Rule 304, an entity seeking to operate an NMS Stock ATS must file a Form ATS-N on or after January 7, 2019. A Legacy NMS Stock ATS must file a Form ATS-N no earlier than January 7, 2019, and no later than February 8, 2019.

    The new Form ATS-N submission form types will be accessible by selecting the 'File Form ATS-N' link on the EDGAR Filing Website. Additionally, filers may construct XML submissions for these submission form types by following the "EDGAR Form ATS-N XML Technical Specification" document available on the SEC's Public Website (https://www.sec.gov/info/edgar/tech-specs). See Chapter 3 (Index to Forms), Chapter 5 (Constructing Attached Documents and Document Types), Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions), Chapter 8 (Preparing and Transmitting Online Submissions), Appendix A (Messages Reported by EDGAR), and Appendix E (Automated Conformance Rules for EDGAR Data Fields) of the "EDGAR Filer Manual, Volume II: EDGAR Filing."

  • In Release 33-10486 adopted April 25, 2018, the Commission revised item requirements to remove fields that ask for personally identifiable information.
    • The Social Security Number and Date of Birth fields will be removed from submission form types CFPORTAL, CFPORTAL/A, and CFPORTAL-W.
    • The Social Security Number, Date of Birth, and Foreign ID No. fields will be removed from submission form types MA, MA-A, and MA/A.
    • The Social Security Number field will be removed from submission form types MA-I and MA-I/A.
  • See Chapter 8 (Preparing and Transmitting Online Submissions) of the "EDGAR Filer Manual, Volume II: EDGAR Filing."

    Submission form types 1-A, 1-A/A, 1-A POS, DOS, and DOS/A will be updated to rename “Income Statement Information” to “Statement of Comprehensive Income Information” in Item 1: Issuer Information. See Chapter 8 (Preparing and Transmitting Online Submissions) of the "EDGAR Filer Manual, Volume II: EDGAR Filing."

  • “EDGAR Filer Manual Volume I: General Information” will include the following updates:
    • Revised hyperlinks for accessing the EDGAR Filer Manuals on the SEC's Public Website.
    • Revised contact information for the Division of Corporation Finance and the Division of Investment Management.
    • The EDGAR OnlineForms/XML Website will be renamed the EDGAR OnlineForms Website.
    • Section 5.6 will be renamed “Filing Fees”.

    See Chapter 2 (General Information for Filers), Chapter 3 (Becoming and EDGAR Filer), Chapter 4 (Generating EDGAR Access Codes), Chapter 6 (Introduction to Filing on EDGAR), and Appendix B (Frequently Asked Questions) of the "EDGAR Filer Manual, Volume I: General Information."

  • “EDGAR Filer Manual Volume II: EDGAR Filing” will include the following updates:
    • Revised hyperlinks for accessing the EDGAR Filer Manuals on the SEC's Public Website.
    • Revised contact information for the Division of Corporation Finance and the Division of Investment Management.
    • The EDGAR OnlineForms/XML Website will be renamed the EDGAR OnlineForms Website.
    • Modified content for Chapter 3 (Index to Forms) to update instructions, and include forms previously overlooked.
    • Revised instructions for select form types for ease of understanding.

    See Chapter 2 (Quick Guide to EDGAR Filing), Chapter 3 (Index to Forms), Chapter 4 (Filing Fee Information), Chapter 5 (Constructing Attached Documents and Document Types), Chapter 6 (Interactive Data), Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions), Chapter 8 (Preparing and Transmitting Online Submissions), Appendix B (Frequently Asked Questions), Appendix C (EDGAR Submission Types), Appendix D (Paper Forms), and Appendix F (Glossary of Commonly Used Terms, Acronyms and Abbreviations).

  • Section titles in Chapter 6 (Interactive Data) of “EDGAR Filer Manual Volume II: EDGAR Filing” will be updated for readability and ease of understanding.

If you have any questions or concerns about the upgrade, please contact Filer Support at (202) 551-8900 (Option 3).

Modified: Dec. 17, 2018
Return to Top