Announcement

EDGAR Release 21.3

Sept. 10, 2021

On September 20, 2021, EDGAR Release 21.3 will introduce the following changes:

  • Form ID will be updated to include the following changes:
    • The following privacy notice:

      PRIVACY ACT STATEMENT

      AUTHORITIES: The information is sought pursuant to 15 U.S.C. 77a et seq., 15 U.S.C. 77aaa et seq., 78a et seq., 80a-1 et seq., and 17 CFR 232.10.

      PURPOSE: The information solicited on this form will be used to determine whether to allow applicants to make filings on EDGAR, and, where access is granted, to establish and maintain the filer’s EDGAR account.

      ROUTINE USES: Uses for the information collected can be found in the System of Records Notice SEC-33: General Information Technology Records. See https://www.sec.gov/about/privacy/sorn/sec-33_sec_general_information_technology_records.pdf.

      DISCLOSURE: Providing this information is voluntary. Failure to provide the information requested on this form, however, may affect the determination whether to allow applicants to make filings on EDGAR.

    • Clarification that information provided on Form ID may become publicly available.
  • Clarification that Commission staff may request supporting documentation before approving changes to a filer’s name.
  • As part of Release 33-10771, the Commission adopted a requirement that filings on Form 24F-2 be submitted in a structured format. This release introduces a Pilot phase for filing Form 24F-2 in a structured format with the following features:
    • EDGAR will be updated to convert Form 24F-2 (variants 24F-2NT and 24F-2NT/A) to an online form.
    • Form 24F-2 may be filed using the new online version which is available on the EDGAR Filing Website or constructed by filers according to the new “EDGAR Form 24F-2 XML Technical Specification” document available on https://www.sec.gov/edgar/filer-information/current-edgar-technical-specifications.
    • Submission form types 24F-2NT and 24F-2NT/A may be accessed by selecting the “File Form 24F-2” link on the EDGAR Filing Website. Instructions to file the online version of Form 24F-2 are included in two new sections of Chapter 8 (Preparing and Transmitting Online Submissions) of the EDGAR Filer Manual, Volume II: “EDGAR Filing” to guide filers through the filing process.
    • Filers will only be allowed to submit online versions of form types 24F-2NT and 24F-2NT/A as TEST filings from September 20, 2021 to January 31, 2022. As with all TEST filings, testers are strongly encouraged to create and submit fictional data.
    • Filers will be prevented from submitting 24F-2NT and 24F-2NT/A form types using the EDGARLink Online interface or as EDGARLink Online filer-constructed submissions beginning February 1, 2022.
    • Beginning February 1, 2022, form types 24F-2NT and 24F-2NT/A created in a structured format will be accepted as LIVE and TEST online submissions.
  • EDGAR will be updated to add the following new submission form type, as adopted by Commission Release 33-10771, effective August 1, 2021:
    • 424I: Prospectus filed pursuant to Rule 424(i)(1)
  • As adopted by Commission Release IC-34078, EDGAR will be updated to include the following new submission form types to EDGARLink Online:
    • N-RN: Current Report for Registered Management Investment Companies and Business Development Companies
    • N-RN/A: Amendment to Current Report for Registered Management Investment Companies and Business Development Companies

    The new N-RN and N-RN/A submission form types are accessible by selecting the 'EDGARLink Online Form Submission' link on the EDGAR Filing Website. Additionally, filers may construct XML submissions for these submission form types by following the "EDGARLink Online XML Technical Specification" document available on the SEC's Public Website (https://www.sec.gov/edgar/filer-information/current-edgar-technical-specifications). See Chapter 3 (Index to Forms) and Appendix C (EDGAR Submission Types) of the EDGAR Filer Manual, Volume II: “EDGAR Filing.” These form types will eventually replace form types N LIQUID and N-LIQUID/A.

  • Also under Release IC-34084, submission form types N-CEN and N-CEN/A were updated to include the following changes for Item C.7 “Reliance on certain statutory exemption and rules.”
    • Addition of sub-item “n. Rule 18f-4 (17 CFR 270.18f-4):” and its corresponding sub-items i, ii, iii, iv, v, and vi.

    See Section 8.2.26 in Chapter 8 (Preparing and Transmitting Online Submissions) of the EDGAR Filer Manual, Volume II: “EDGAR Filing.”

  • Finally under Release IC-34084. submission form types NPORT-P, NPORT-P/A, NPORT-NP, and NPORT-NP/A, will be updated to include the following two new sections and corresponding sub-sections:
    • Section B.9: Derivatives Exposure for limited derivatives users. If the Fund is excepted from the rule 18f-4 [17 CFR 270.18f-4] program requirement and limit on fund leverage risk under rule 18f-4(c)(4) [17 CFR 270.18f-4(c)(4)], provide the following information:
    • Section B.10: VaR information. For Funds subject to the limit on fund leverage risk described in rule 18f-4(c)(2) [17 CFR 270.18f-4(c)(2)], provide the following information, as determined in accordance with the requirement under rule 18f- 4(c)(2)(ii) to determine the fund’s compliance with the applicable VaR test at least once each business day:

    Additionally, the description for Item B.8 was updated. For more information see the “EDGAR Form N-PORT XML Technical Specification” document available on https://www.sec.gov/edgar/filer-information/current-edgar-technical-specifications.

  • In Rule 34-87005, “Recordkeeping Adopting Release” the Commission adopted a revised version of Form X-17A-5 Part III. In accordance with these rules, EDGAR will be updated to allow the X-17A-5 form to be filed by two new classes of registrants (security-based swap dealers and major security-based swap participants). See Chapter 8 (Preparing and Transmitting Online Submissions) of the EDGAR Filer Manual, Volume II: “EDGAR Filing.”
  • Exchange Act Rule 15Fi-3(c), adopted on December 18, 2019, requires security-based swap dealers and major security-based swap participants (together, “SBS Entities”) to provide the Commission with notices of certain valuation disputes with their counterparties. In accordance with this rule, EDGAR will be updated to include the following two new form types:
    • SBS DISPUTE NOTICE: DISPUTE NOTICE: Security-Based Swap Entity Valuation Dispute Notice
    • SBS DISPUTE NOTICE/A: Amendment to a Security-Based Swap Entity Valuation Dispute Notice

    The new submission form types are accessible by selecting the 'EDGARLink Online Form Submission' link on the EDGAR Filing Website. Additionally, filers may construct XML submissions for these submission form types by following the "EDGARLink Online XML Technical Specification" document available on the SEC's Public Website (https://www.sec.gov/edgar/filer-information/current-edgar-technical-specifications). The information is these notices is non-public, and therefore these notices will not be disseminated or available for public viewing on http://www.sec.gov. See Chapter 3 (Index to Forms) and Appendix C (EDGAR Submission Types) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”

  • In accordance with Release 33-10884, submission form types D and D/A will be updated to increase the Total Offering Amount in "Item 13: Offering and Sales Amounts" from a maximum of $5,000,000 to $10,000,000 if any "Rule 504" item is selected. See Chapter 8 (Preparing and Transmitting Online Submissions) and Appendix A (Messages Reported By EDGAR) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”
  • EDGAR will be updated to disallow the IFRS-2019 Taxonomy. Please see https://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete list of supported standard Taxonomies in EDGAR.
  • EDGAR will be updated to no longer use the description “Taiwan, Province of China” for Taiwan and will only use the term “Taiwan” without a following modifier, in compliance with the U.S. Government’s Geopolitical Entities, Names, and Codes (GENC) Standard. The state/country list of values for all XML Schemas will be updated to reflect this change.
  • EDGAR will be updated to accept the SBSE-C Certification form immediately after receiving the SBSE registration forms SBSE, SBSE-A and SBSE-BD.
  • The EDGAR Filer Management, EDGAR Filing, and EDGAR Online Forms Management websites will be updated to include the following EDGAR Privacy Notice:

    EDGAR PRIVACY NOTICE

    To learn about how the SEC handles your information and its privacy, data collection, and data sharing policies, please visit the SEC Web Site Privacy and Security Policy.

    If you submit personally identifiable information (PII) in a filing by error you may amend that filing or refile it without the PII. In very rare and unusual circumstances, SEC staff will consider requests to delete a filing from the EDGAR system. You can find additional guidance here: Correct, withdraw, or delete a filing.

    This notice can be accessed by selecting the “EDGAR Privacy Notice” hyperlink on the bottom of the Home Page of the three websites.

  • The EDGAR Filer Management, EDGAR Filing, and EDGAR Online Forms Management websites will be updated to drop support for Internet Explorer (IE) and add support for Microsoft Edge.

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

Modified: Sept. 10, 2021
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