Adoption of Updated EDGAR Filer Manual, 46559-46562 [E7-16414]
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Federal Register / Vol. 72, No. 161 / Tuesday, August 21, 2007 / Rules and Regulations
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 39
[Docket No. FAA–2007–28253; Directorate
Identifier 2007–NM–031–AD; Amendment
39–15064; AD 2007–11–07]
RIN 2120–AA64
Airworthiness Directives; Boeing
Model 737–100, –200, –200C, –300,
–400, and –500 Series Airplanes
Federal Aviation
Administration (FAA), Department of
Transportation (DOT).
ACTION: Final rule; correction.
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AGENCY:
SUMMARY: The FAA is correcting a
typographical error in an existing
airworthiness directive (AD) that was
published in the Federal Register on
May 22, 2007 (72 FR 28597). The error
resulted in a confusing compliance
time. This AD applies to all Boeing
Model 737–100, –200, –200C, –300,
–400, and –500 series airplanes. This
AD requires repetitive detailed
inspections for damage of the electrical
wire and sleeve that run to the fuel
boost pump through a conduit in the
fuel tank, and arcing damage of the
conduit and signs of fuel leakage into
the conduit; replacement of the sleeve
with a new, smaller-diameter sleeve;
and related investigative and corrective
actions, as applicable.
DATES: Effective June 6, 2007.
ADDRESSES: The AD docket contains the
proposed AD, comments, and any final
disposition. You may examine the AD
docket on the Internet at https://
dms.dot.gov, or in person at the Docket
Operations office between 9 a.m. and 5
p.m., Monday through Friday, except
Federal holidays. The Docket
Operations office (telephone (800) 647–
5527) is located on the ground level of
the West Building at the DOT street
address stated in the ADDRESSES section.
This docket number is FAA–2007–
28253; the directorate identifier for this
docket is 2007–NM–031–AD.
FOR FURTHER INFORMATION CONTACT:
Suzanne Lucier, Aerospace Engineer,
Propulsion Branch, ANM–140S, FAA,
Seattle Aircraft Certification Office,
1601 Lind Avenue, SW., Renton,
Washington 98057–3356; telephone
(425) 917–6438; fax (425) 917–6590.
SUPPLEMENTARY INFORMATION: On May 2,
2007, the FAA issued AD 2007–11–07,
amendment 39–15064 (72 FR 28597,
May 22, 2007), for all Boeing Model
737–100, –200, –200C, –300, –400, and
–500 series airplanes. The AD requires
repetitive detailed inspections for
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damage of the electrical wire and sleeve
that run to the fuel boost pump through
a conduit in the fuel tank, and arcing
damage of the conduit and signs of fuel
leakage into the conduit; replacement of
the sleeve with a new, smaller-diameter
sleeve; and related investigative and
corrective actions, as applicable.
As published, paragraph (k) of AD
2007–11–07 reads ‘‘* * * Thereafter,
repeat the detailed inspection at
intervals not to exceed 15,000 flight
cycles. * * *’’ The correct term, ‘‘flight
hours’’ (not flight cycles), appears in all
other compliance times cited in the AD,
as intended.
No other part of the regulatory
information has been changed;
therefore, the final rule is not
republished in the Federal Register.
The effective date of this AD remains
June 6, 2007.
§ 39.13
[Corrected]
In the Federal Register of May 22,
2007, on page 28600, in the third
column, paragraph (k) of AD 2007–11–
07 is corrected to read as follows:
*
*
*
*
*
I
(k) At the applicable time specified by
paragraph (k)(1) or (k)(2) of this AD: Do a
detailed inspection for damage of the sleeve
and electrical wire of the fuel boost pump;
and, before further flight, install a new,
smaller-diameter sleeve, and do related
investigative and corrective actions, as
applicable; in accordance with the
Accomplishment Instructions of Boeing Alert
Service Bulletin 737–28A1263, Revision 1,
dated March 19, 2007. Thereafter, repeat the
detailed inspection at intervals not to exceed
15,000 flight hours. Accomplishment of the
initial inspection, applicable corrective
actions, and sleeve installation required by
this paragraph terminates the requirements of
paragraphs (f), (g), (h), and (i) of this AD.
*
*
*
*
*
Issued in Renton, Washington, on August
14, 2007.
Stephen P. Boyd,
Acting Manager, Transport Airplane
Directorate, Aircraft Certification Service.
[FR Doc. E7–16304 Filed 8–20–07; 8:45 am]
BILLING CODE 4910–13–P
SECURITIES AND EXCHANGE
COMMISSION
17 CFR Part 232
[Release Nos. 33–8834; 34–56256; 39–2448;
IC–27928]
RIN 3235–AG96
Adoption of Updated EDGAR Filer
Manual
Securities and Exchange
Commission.
AGENCY:
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ACTION:
46559
Final rule.
SUMMARY: The Securities and Exchange
Commission (the Commission) is
adopting revisions to the Electronic Data
Gathering, Analysis, and Retrieval
System (EDGAR) Filer Manual to reflect
updates to the EDGAR system.
Revisions are being made primarily to
support the expansion of the current
interactive data voluntary reporting
program to enable mutual funds
voluntarily to submit supplemental
tagged information contained in the
risk/return summary section of their
prospectuses on Form N–1A. The
EDGAR system is being upgraded to
support this functionality on August 20,
2007.
The filer manual is also being revised
to incorporate changes in support of
several final rules previously adopted
by the Commission and implemented in
EDGAR. Those rules include the
termination of a foreign private issuer’s
registration of a class of securities under
Section 12(g) and duty to file reports
under Section 13(a) or 15(d) of the
Securities Exchange Act of 1934
(‘‘Exchange Act’’); the electronic filing
of Transfer Agent (‘‘TA’’) forms TA–1,
TA–2 and TA–W; and revisions to the
accelerated filer definition under the
Exchange Act. Other revisions were
made to allow an issuer to indicate
whether it is subject to reporting
obligations after terminating registration
of a class of equity securities under the
Exchange Act and to remove references
to submission types N–14AE and N–
14AE/A for the filing of Form N–14
from ‘‘Table 3–5: Investment Company
Submission Types Accepted by
EDGAR’’ of the Filer Manual.
Revisions to the Filer Manual reflect
changes within Volumes I and II,
entitled EDGAR Filer Manual, Volume I:
‘‘General Information,’’ Version 4
(August 2007) and EDGAR Filer
Manual, Volume II: ‘‘EDGAR Filing,’’
Version 5 (August 2007) respectively.
The updated manual will be
incorporated by reference into the Code
of Federal Regulations.
DATES: Effective Date: August 20, 2007.
The incorporation by reference of the
EDGAR Filer Manual is approved by the
Director of the Federal Register as of
August 20, 2007.
FOR FURTHER INFORMATION CONTACT: In
the Office of Information Technology,
Rick Heroux, at (202) 551–8800; in the
Division of Investment Management, for
questions concerning the expansion of
the current interactive data voluntary
reporting program, Alberto H. Zapata,
Senior Counsel, or Brent J. Fields,
Assistant Director, Office of Disclosure
Regulation, at (202) 551–6784, and for
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questions concerning investment
company filings, Ruth Armfield
Sanders, Senior Special Counsel, Office
of Legal and Disclosure, at (202) 551–
6989; in the Division of Market
Regulation, for questions concerning the
electronic filing of Transfer Agent
forms, Catherine Moore, Special
Counsel, Office of Clearance and
Settlement, at (202) 551–5710; and in
the Division of Corporation Finance, for
questions concerning the definition of
accelerated filer for periodic reports,
Katherine W. Hsu, Special Counsel,
Office of Rulemaking, at (202) 551–3430
and for questions concerning
termination of a foreign private issuer’s
registration, Elliot Staffin, Special
Counsel, Office of International
Corporate Finance, at (202) 551–3450.
SUPPLEMENTARY INFORMATION: Today we
are adopting an updated EDGAR Filer
Manual, Volumes I and II. The Filer
Manual describes the technical
formatting requirements for the
preparation and submission of
electronic filings through the EDGAR
system.1 It also describes the
requirements for filing using
EDGARLink 2 and the Online Forms/
XML Web site.
The Filer Manual contains all the
technical specifications for filers to
submit filings using the EDGAR system.
Filers must comply with the applicable
provisions of the Filer Manual in order
to assure the timely acceptance and
processing of filings made in electronic
format.3 Filers should consult the Filer
Manual in conjunction with our rules
governing mandated electronic filing
when preparing documents for
electronic submission.4
Revisions are being made primarily to
support the final rule 5 adopted by the
Commission to extend the current
interactive data voluntary reporting
program to enable mutual funds
voluntarily to submit supplemental
tagged information contained in the
risk/return summary section of their
prospectuses from Form N–1A using the
mutual fund risk/return summary
taxonomy developed by the Investment
Company Institute (‘‘ICI’’). As with the
voluntary interactive data program
initiated by the Commission in 2005, in
which companies voluntarily agree to
furnish financial data as exhibit
documents in eXtensible Business
Reporting Language (‘‘XBRL’’) format,
the risk/return summary data submitted
by mutual funds must also be provided
as exhibit documents in XBRL format. A
mutual fund submitting tagged risk/
return summary information as an
exhibit to Form N–1A will be required
to name each document ‘‘EX–100’’ as
specified in the EDGAR Filer Manual. In
addition, the XBRL exhibit documents
submitted require the use of the
appropriate version of standard
taxonomies supported by EDGAR.
Those standard taxonomies, including
the ICI’s Mutual Fund Risk/Return
Summary Taxonomy, are provided on
the SEC’s ‘‘Information for EDGAR
Filers’’ webpage and include a listing of
applicable XBRL schemas and
linkbases. Core XBRL, XBRL linkbase,
eXtensible Markup Language (XML),
and XLink schemas and specifications
are listed in the EDGAR Filer Manual,
Volume II: ‘‘EDGAR Filing’’. A mutual
fund choosing to tag its risk/return
summary information also would
1 We originally adopted the Filer Manual on April
1, 1993, with an effective date of April 26, 1993.
Release No. 33–6986 (April 1, 1993) [58 FR 18638].
We implemented the most recent update to the Filer
Manual on February 6, 2006. See Release No. 33–
8656 (January 27, 2006) [71 FR 5596].
2 This is the filer assistance software we provide
filers filing on the EDGAR system.
3 See Rule 301 of Regulation S–T (17 CFR
232.301).
4 See Release Nos. 33–6977 (February 23, 1993)
[58 FR 14628], IC–19284 (February 23, 1993) [58 FR
14848], 35–25746 (February 23, 1993) [58 FR
14999], and 33–6980 (February 23, 1993) [58 FR
15009] in which we comprehensively discuss the
rules we adopted to govern mandated electronic
filing. See also Release No. 33–7122 (December 19,
1994) [59 FR 67752], in which we made the EDGAR
rules final and applicable to all domestic
registrants; Release No. 33–7427 (July 1, 1997) [62
FR 36450], in which we adopted minor
amendments to the EDGAR rules; Release No. 33–
7472 (October 24, 1997) [62 FR 58647], in which
we announced that, as of January 1, 1998, we would
not accept in paper filings that we require filers to
submit electronically; Release No. 34–40934
(January 12, 1999) [64 FR 2843], in which we made
mandatory the electronic filing of Form 13F;
Release No. 33–7684 (May 17, 1999) [64 FR 27888],
in which we adopted amendments to implement
the first stage of EDGAR modernization; Release No.
33–7855 (April 24, 2000) [65 FR 24788], in which
we implemented EDGAR Release 7.0; Release No.
33–7999 (August 7, 2001) [66 FR 42941], in which
we implemented EDGAR Release 7.5; Release No.
33–8007 (September 24, 2001) [66 FR 49829], in
which we implemented EDGAR Release 8.0;
Release No. 33–8224 (April 30, 2003) [68 FR 24345],
in which we implemented EDGAR Release 8.5;
Release Nos. 33–8255 (July 22, 2003) [68 FR 44876]
and 33–8255A (September 4, 2003) [68 FR 53289]
in which we implemented EDGAR Release 8.6;
Release No. 33–8409 (April 19, 2004) [69 FR 21954]
in which we implemented EDGAR Release 8.7;
Release No. 33–8454 (August 6, 2004) [69 FR 49803]
in which we implemented EDGAR Release 8.8;
Release No. 33–8528 (February 3, 2005) [70 FR
6573] in which we implemented EDGAR Release
8.10; Release No. 33–8573 (May 19, 2005) [70 FR
30899] in which we implemented EDGAR Release
9.0; Release No. 33–8612 (September 21, 2005) [70
FR 57130] in which the Commission granted the
authorization to publish the release adopting the
reorganized EDGAR Filer Manual; Release No. 33–
8633 (November 1, 2005) [70 FR 67350] in which
we implemented EDGAR Release 9.2; and Release
No 33–8656 (January 27, 2006) [71 FR 5596] in
which we implemented EDGAR Release 9.3.
5 See Release No. 33–8823 (July 11, 2007) [72 FR
39290].
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continue to file this information in
HTML or ASCII format, as currently
required.
The filer manual is also being revised
to incorporate changes made to support
final rules previously adopted by the
Commission and implemented in
EDGAR. Those rules and EDGAR
changes are described below.
• The termination of a foreign private
issuer’s 12(g) reporting obligations 6
regarding a class of debt securities and
to cease its duty to file reports under
Section 13(a) or 15(d) of the Exchange
Act;
This revision included the addition of
new submission types 15F–12B, 15F–
12B/A, 15F–12G, 15F–12G/A, 15F–15D,
15F–15D/A which can be submitted
using the EDGARLink software and
Submission Template #3.
• The electronic filing of forms 7 TA–
1, TA–2 and TA–W;
This revision included the addition of
electronic forms for the filing of the
registration, annual report, and
withdrawal from registration of transfer
agents. The EDGARLite application was
introduced as the tool for filers to use
in the creation of their EDGAR
submissions. Filers download the
EDGARLite package from the EDGAR
OnlineForms/XML Web site and install
it on their desktop. EDGARLite consists
of a Commercial off the Shelf (COTS)
software package, Microsoft InfoPath 8
(MS InfoPath), and electronic form
templates provided by the Commission.
The forms are encoded in Extensible
Markup Language (XML) and are
submitted to EDGAR using the
OnlineForms/XML Web site.
• Revisions to the accelerated filer
definition 9 and accelerated periodic
report filing deadlines under the
Exchange Act;
The addition of a required
‘‘Accelerated Filer Status’’ indicator to
EDGARLink submission headers for 10–
K, 10–K/A, 10–KT, 10–KT/A, 20–F, and
20–F/A forms allows filers of these form
types to select one of the following
accelerated filer classification values:
Large Accelerated Filer, Accelerated
Filer, Non-accelerated Filer, and Not
Applicable (should be used if a filer is
filing an amendment to a Form 10–K or
Form 20–F submission for a period that
occurred before the accelerated filer
6 See Release No. 34–55540 (March 27, 2007) [72
FR 16934].
7 See Release No. 34–54864 (December 4, 2006)
[71 FR 74698].
8 MS InfoPath 2003 or MS InfoPath 2007 can be
used and comes with the Professional Enterprise
Edition of Microsoft Office or can be purchased
separately for approximately $200.
9 See Release No. 33–8644 (December 21, 2005)
[70 FR 76626].
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Federal Register / Vol. 72, No. 161 / Tuesday, August 21, 2007 / Rules and Regulations
definition went into effect). The
accelerated filer classification is directly
46561
related to the filer’s reporting deadline
as illustrated in the following: 10
Revised deadlines for filing periodic reports
Category of filer
Form 10–K deadline
Large Accelerated Filer ($700MM or more) ......
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Accelerated Filer ($75MM or more and less
than $700MM).
Non-accelerated Filer (less than $75MM) .........
Additional revisions were made to
permit a domestic issuer to indicate
whether reporting obligations still exist
after terminating registration of a class
of equity securities under the Exchange
Act. The addition of a required ‘‘Duty to
File Reports Remains’’ indicator in
EDGARLink submission headers for
submission types 15–12B, 15–12B/A,
15–12G, 15–12G/A, 15–15D and 15–
15D/A allows filers of these form types
to indicate whether it is still subject to
reporting obligations under the
Exchange Act.
Finally, we removed from ‘‘Table 3–
5: Investment Company Submission
Types Accepted by EDGAR’’ of the Filer
Manual the reference to submission
types N–14AE and N–14AE/A for the
filing of Form N–14. All open-end
investment companies, including those
filed with automatic effectiveness under
Rule 488 (business combinations), are to
use submission types N–14 and N–14/
A for these filings.
For the extension of the current
interactive data voluntary reporting
program to enable mutual funds
voluntarily to submit supplemental
tagged information contained in the
risk/return summary section of their
prospectuses being implemented in
EDGAR Release 9.7, the EDGARLink
software and submission templates will
not be updated. Notice of the new
release has previously been provided on
the EDGAR Filing Web site and on the
Commission’s public Web site. The
discrete updates are reflected in the
updated Filer Manual Volumes.
Along with adoption of the Filer
Manual, we are amending Rule 301 of
Regulation S–T to provide for the
incorporation by reference into the Code
of Federal Regulations of today’s
revisions. This incorporation by
reference was approved by the Director
of the Federal Register in accordance
with 5 U.S.C. 552(a) and 1 CFR part 51.
10 See Release No. 33–8644 (December 21, 2005)
[70 FR 76626].
11 5 U.S.C. 553(b).
12 5 U.S.C. 601–612.
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Form 10–Q deadline
75 days for fiscal years ending before December 15, 2006
and 60 days for fiscal years ending on or after December
15, 2006.
75 days ......................................................................................
40 days.
90 days ......................................................................................
45 days.
You may obtain paper copies of the
updated Filer Manual at the following
address: Public Reference Room, U.S.
Securities and Exchange Commission,
100 F Street, NE., Room 1580,
Washington, DC 20549, on official
business days between the hours of 10
a.m. and 3 p.m. We will post electronic
format copies on the Commission’s Web
site; the address for the Filer Manual is
https://www.sec.gov/info/edgar.shtml.
You may also obtain copies from
Thomson Financial, the paper
document contractor for the
Commission, at (800) 638–8241.
Since the Filer Manual relates solely
to agency procedures or practice,
publication for notice and comment is
not required under the Administrative
Procedure Act (APA).11 It follows that
the requirements of the Regulatory
Flexibility Act 12 do not apply.
The effective date for the updated
Filer Manual and the rule amendments
is August 20, 2007. In accordance with
the APA,13 we find that there is good
cause to establish an effective date less
than 30 days after publication of these
rules. The EDGAR system upgrade to
Release 9.7 is scheduled to become
available on August 20, 2007. The
Commission believes that it is necessary
to coordinate the effectiveness of the
updated Filer Manual with the
scheduled system upgrade.
Statutory Basis
We are adopting the amendments to
Regulation S–T under Sections 6, 7, 8,
10, and 19(a) of the Securities Act of
1933,14 Sections 3, 12, 13, 14, 15, 23,
and 35A of the Exchange Act,15 Section
319 of the Trust Indenture Act of
1939,16 and Sections 8, 30, 31, and 38
of the Investment Company Act of
1940.17
U.S.C. 553(d)(3).
U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
15 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and
78ll.
List of Subjects in 17 CFR Part 232
Incorporation by reference, Reporting
and recordkeeping requirements,
Securities.
Text of the Amendment
In accordance with the foregoing,
Title 17, Chapter II of the Code of
Federal Regulations is amended as
follows:
PART 232—REGULATION S–T—
GENERAL RULES AND REGULATIONS
FOR ELECTRONIC FILINGS
1. The authority citation for part 232
continues to read in part as follows:
I
Authority: 15 U.S.C. 77f, 77g, 77h, 77j,
77s(a), 77sss(a), 78c(b), 78l, 78m, 78n, 78o(d),
78w(a), 78ll(d), 79t(a), 80a–8, 80a–29, 80a–
30, 80a–37, and 7201 et seq.; and 18 U.S.C.
1350.
*
*
*
*
*
2. Section 232.301 is revised to read
as follows:
I
§ 232.301
16 15
14 15
17 15
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EDGAR Filer Manual.
Filers must prepare electronic filings
in the manner prescribed by the EDGAR
Filer Manual, promulgated by the
Commission, which sets out the
technical formatting requirements for
electronic submissions. The
requirements for becoming an EDGAR
Filer and updating company data are set
forth in the updated EDGAR Filer
Manual, Volume I: ‘‘General
Information,’’ Version 4 (August 2007).
The requirements for filing on EDGAR
are set forth in the updated EDGAR Filer
Manual, Volume II: ‘‘EDGAR Filing,’’
Version 5 (August 2007). Additional
provisions applicable to Form N–SAR
filers are set forth in the EDGAR Filer
Manual, Volume III: ‘‘N–SAR
Supplement,’’ Version 1 (September
2005). All of these provisions have been
incorporated by reference into the Code
of Federal Regulations, which action
was approved by the Director of the
13 5
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U.S.C. 77sss.
U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37.
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Federal Register / Vol. 72, No. 161 / Tuesday, August 21, 2007 / Rules and Regulations
Federal Register in accordance with 5
U.S.C. 552(a) and 1 CFR part 51. You
must comply with these requirements in
order for documents to be timely
received and accepted. You can obtain
paper copies of the EDGAR Filer
Manual from the following address:
Public Reference Room, U.S. Securities
and Exchange Commission, 100 F
Street, NE., Room 1580, Washington, DC
20549, on official business days
between the hours of 10 a.m. and 3 p.m.,
or by calling Thomson Financial at (800)
638–8241. Electronic copies are
available on the Commission’s Web site.
The address for the Filer Manual is
https://www.sec.gov/info/edgar.shtml.
You can also photocopy the document
at the National Archives and Records
Administration (NARA). For
information on the availability of this
material at NARA, call 202–741–6030,
or go to: https://www.archives.gov/
federal_register/
code_of_federal_regulations/
ibr_locations.html.
Dated: August 15, 2007.
By the Commission.
Florence E. Harmon,
Deputy Secretary .
[FR Doc. E7–16414 Filed 8–20–07; 8:45 am]
BILLING CODE 8010–01–P
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Food and Drug Administration
21 CFR Part 172
[Docket No. 2006F–0059]
Food Additives Permitted for Direct
Addition to Food for Human
Consumption; Polydextrose
AGENCY:
Food and Drug Administration,
HHS.
rmajette on PROD1PC64 with RULES
ACTION:
Final rule.
SUMMARY: The Food and Drug
Administration (FDA) is amending the
food additive regulations to provide for
the safe use of polydextrose as a bulking
agent, formulation aid, humectant, and
texturizer in all foods, except meat and
poultry, baby foods, and infant formula.
This action is in response to a petition
filed by Danisco USA, Inc.
DATES: This rule is effective August 21,
2007. Submit written or electronic
objections and requests for a hearing by
September 20, 2007. See section VII of
the SUPPLEMENTARY INFORMATION section
of this document for information on the
filing of objections. The Director of the
Office of the Federal Register approves
the incorporation by reference in
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16:11 Aug 20, 2007
Jkt 211001
accordance with 5 U.S.C. 552(a) and 1
CFR part 51 of certain publications in
§ 172.841(b) (21 CFR 172.841(b)) as of
August 21, 2007.
ADDRESSES: You may submit written or
electronic objections and requests for a
hearing, identified by Docket No.
2006F–0059, by any of the following
methods:
Electronic Submissions
Submit electronic objections in the
following ways:
• Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
• Agency Web site: https://
www.fda.gov/dockets/ecomments.
Follow the instructions for submitting
comments on the agency Web site.
Written Submissions
Submit written objections in the
following ways:
• FAX: 301–827–6870.
• Mail/Hand delivery/Courier [For
paper, disk, or CD–ROM submissions]:
Division of Dockets Management (HFA–
305), Food and Drug Administration,
5630 Fishers Lane, rm. 1061, Rockville,
MD 20852.
To ensure more timely processing of
objections, FDA is no longer accepting
objections submitted to the agency by email. FDA encourages you to continue
to submit electronic objections by using
the Federal eRulemaking Portal or the
agency Web site, as described in the
Electronic Submissions portion of this
paragraph.
Instructions: All submissions received
must include the agency name and
docket number for this rulemaking. All
objections received will be posted
without change to https://www.fda.gov/
ohrms/dockets/default.htm, including
any personal information provided. For
detailed instructions on submitting
objections, see the ‘‘Objections’’ heading
of the SUPPLEMENTARY INFORMATION
section of this document.
Docket: For access to the docket to
read background documents or
objections received, go to https://
www.fda.gov/ohrms/dockets/
default.htm and insert the docket
number, found in brackets in the
heading of this document, into the
‘‘Search’’ box and follow the prompts
and/or go to the Division of Dockets
Management, 5630 Fishers Lane, rm.
1061, Rockville, MD 20852.
FOR FURTHER INFORMATION CONTACT:
Andrew J. Zajac, Center for Food Safety
and Applied Nutrition (HFS–265), Food
and Drug Administration, 5100 Paint
Branch Pkwy., College Park, MD 20740–
3835, 301–436–1267.
SUPPLEMENTARY INFORMATION:
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I. Introduction
In a notice published in the Federal
Register of February 15, 2006 (71 FR
7975), amended April 27, 2006 (71 FR
24856), FDA announced that a food
additive petition (FAP 6A4763) had
been filed by Danisco USA, Inc., 440
Saw Mill River Rd., Ardsley, NY 10502–
2605. The petition proposed to amend
the food additive regulations in
§ 172.841 Polydextrose (21 CFR
172.841). Currently, § 172.841 lists 13
specific categories of foods in which
polydextrose may be used safely as a
bulking agent, formulation aid,
humectant, and texturizer. The petition
proposed to amend § 172.841 to provide
for the safe use of polydextrose as a
bulking agent, formulation aid,
humectant, and texturizer in all foods,
except meat and poultry.
The petition also proposed to
incorporate by reference the
specifications for polydextrose in the
5th edition of the Food Chemicals
Codex (FCC V), effective January 1,
2004. After the petition was filed,
Danisco amended the petition to
exclude the proposed uses of
polydextrose in baby food and infant
formula.
II. Determination of Safety
Under the general safety standard in
section 409 of the Federal Food, Drug,
and Cosmetic Act (the act) (21 U.S.C.
348), a food additive cannot be
approved for a particular use unless a
fair evaluation of the data available to
FDA establishes that the additive is safe
for that use. FDA’s food additive
regulations (21 CFR 170.3(i)) define safe
as ‘‘a reasonable certainty in the minds
of competent scientists that the
substance is not harmful under the
intended conditions of use.’’
To establish with reasonable certainty
that a food additive is not harmful
under its intended conditions of use,
FDA considers the projected human
dietary intake of the additive, existing
toxicological data, and other relevant
information (such as published
literature) available to the agency. FDA
compares an individual’s estimated
daily intake (EDI) of the additive from
all sources to an acceptable intake level
established by toxicological data. The
EDI is determined by projections based
on the amount of the additive proposed
for use in particular foods and on data
regarding the amount consumed from
all sources of the additive. The agency
commonly uses the EDI for the 90th
percentile consumer of a food additive
as a measure of high chronic dietary
intake.
E:\FR\FM\21AUR1.SGM
21AUR1
]]>Agencies
[Federal Register Volume 72, Number 161 (Tuesday, August 21, 2007)]
[Rules and Regulations]
[Pages 46559-46562]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-16414]
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SECURITIES AND EXCHANGE COMMISSION
17 CFR Part 232
[Release Nos. 33-8834; 34-56256; 39-2448; IC-27928]
RIN 3235-AG96
Adoption of Updated EDGAR Filer Manual
AGENCY: Securities and Exchange Commission.
ACTION: Final rule.
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SUMMARY: The Securities and Exchange Commission (the Commission) is
adopting revisions to the Electronic Data Gathering, Analysis, and
Retrieval System (EDGAR) Filer Manual to reflect updates to the EDGAR
system. Revisions are being made primarily to support the expansion of
the current interactive data voluntary reporting program to enable
mutual funds voluntarily to submit supplemental tagged information
contained in the risk/return summary section of their prospectuses on
Form N-1A. The EDGAR system is being upgraded to support this
functionality on August 20, 2007.
The filer manual is also being revised to incorporate changes in
support of several final rules previously adopted by the Commission and
implemented in EDGAR. Those rules include the termination of a foreign
private issuer's registration of a class of securities under Section
12(g) and duty to file reports under Section 13(a) or 15(d) of the
Securities Exchange Act of 1934 (``Exchange Act''); the electronic
filing of Transfer Agent (``TA'') forms TA-1, TA-2 and TA-W; and
revisions to the accelerated filer definition under the Exchange Act.
Other revisions were made to allow an issuer to indicate whether it is
subject to reporting obligations after terminating registration of a
class of equity securities under the Exchange Act and to remove
references to submission types N-14AE and N-14AE/A for the filing of
Form N-14 from ``Table 3-5: Investment Company Submission Types
Accepted by EDGAR'' of the Filer Manual.
Revisions to the Filer Manual reflect changes within Volumes I and
II, entitled EDGAR Filer Manual, Volume I: ``General Information,''
Version 4 (August 2007) and EDGAR Filer Manual, Volume II: ``EDGAR
Filing,'' Version 5 (August 2007) respectively. The updated manual will
be incorporated by reference into the Code of Federal Regulations.
DATES: Effective Date: August 20, 2007. The incorporation by reference
of the EDGAR Filer Manual is approved by the Director of the Federal
Register as of August 20, 2007.
FOR FURTHER INFORMATION CONTACT: In the Office of Information
Technology, Rick Heroux, at (202) 551-8800; in the Division of
Investment Management, for questions concerning the expansion of the
current interactive data voluntary reporting program, Alberto H.
Zapata, Senior Counsel, or Brent J. Fields, Assistant Director, Office
of Disclosure Regulation, at (202) 551-6784, and for
[[Page 46560]]
questions concerning investment company filings, Ruth Armfield Sanders,
Senior Special Counsel, Office of Legal and Disclosure, at (202) 551-
6989; in the Division of Market Regulation, for questions concerning
the electronic filing of Transfer Agent forms, Catherine Moore, Special
Counsel, Office of Clearance and Settlement, at (202) 551-5710; and in
the Division of Corporation Finance, for questions concerning the
definition of accelerated filer for periodic reports, Katherine W. Hsu,
Special Counsel, Office of Rulemaking, at (202) 551-3430 and for
questions concerning termination of a foreign private issuer's
registration, Elliot Staffin, Special Counsel, Office of International
Corporate Finance, at (202) 551-3450.
SUPPLEMENTARY INFORMATION: Today we are adopting an updated EDGAR Filer
Manual, Volumes I and II. The Filer Manual describes the technical
formatting requirements for the preparation and submission of
electronic filings through the EDGAR system.\1\ It also describes the
requirements for filing using EDGARLink \2\ and the Online Forms/XML
Web site.
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\1\ We originally adopted the Filer Manual on April 1, 1993,
with an effective date of April 26, 1993. Release No. 33-6986 (April
1, 1993) [58 FR 18638]. We implemented the most recent update to the
Filer Manual on February 6, 2006. See Release No. 33-8656 (January
27, 2006) [71 FR 5596].
\2\ This is the filer assistance software we provide filers
filing on the EDGAR system.
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The Filer Manual contains all the technical specifications for
filers to submit filings using the EDGAR system. Filers must comply
with the applicable provisions of the Filer Manual in order to assure
the timely acceptance and processing of filings made in electronic
format.\3\ Filers should consult the Filer Manual in conjunction with
our rules governing mandated electronic filing when preparing documents
for electronic submission.\4\
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\3\ See Rule 301 of Regulation S-T (17 CFR 232.301).
\4\ See Release Nos. 33-6977 (February 23, 1993) [58 FR 14628],
IC-19284 (February 23, 1993) [58 FR 14848], 35-25746 (February 23,
1993) [58 FR 14999], and 33-6980 (February 23, 1993) [58 FR 15009]
in which we comprehensively discuss the rules we adopted to govern
mandated electronic filing. See also Release No. 33-7122 (December
19, 1994) [59 FR 67752], in which we made the EDGAR rules final and
applicable to all domestic registrants; Release No. 33-7427 (July 1,
1997) [62 FR 36450], in which we adopted minor amendments to the
EDGAR rules; Release No. 33-7472 (October 24, 1997) [62 FR 58647],
in which we announced that, as of January 1, 1998, we would not
accept in paper filings that we require filers to submit
electronically; Release No. 34-40934 (January 12, 1999) [64 FR
2843], in which we made mandatory the electronic filing of Form 13F;
Release No. 33-7684 (May 17, 1999) [64 FR 27888], in which we
adopted amendments to implement the first stage of EDGAR
modernization; Release No. 33-7855 (April 24, 2000) [65 FR 24788],
in which we implemented EDGAR Release 7.0; Release No. 33-7999
(August 7, 2001) [66 FR 42941], in which we implemented EDGAR
Release 7.5; Release No. 33-8007 (September 24, 2001) [66 FR 49829],
in which we implemented EDGAR Release 8.0; Release No. 33-8224
(April 30, 2003) [68 FR 24345], in which we implemented EDGAR
Release 8.5; Release Nos. 33-8255 (July 22, 2003) [68 FR 44876] and
33-8255A (September 4, 2003) [68 FR 53289] in which we implemented
EDGAR Release 8.6; Release No. 33-8409 (April 19, 2004) [69 FR
21954] in which we implemented EDGAR Release 8.7; Release No. 33-
8454 (August 6, 2004) [69 FR 49803] in which we implemented EDGAR
Release 8.8; Release No. 33-8528 (February 3, 2005) [70 FR 6573] in
which we implemented EDGAR Release 8.10; Release No. 33-8573 (May
19, 2005) [70 FR 30899] in which we implemented EDGAR Release 9.0;
Release No. 33-8612 (September 21, 2005) [70 FR 57130] in which the
Commission granted the authorization to publish the release adopting
the reorganized EDGAR Filer Manual; Release No. 33-8633 (November 1,
2005) [70 FR 67350] in which we implemented EDGAR Release 9.2; and
Release No 33-8656 (January 27, 2006) [71 FR 5596] in which we
implemented EDGAR Release 9.3.
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Revisions are being made primarily to support the final rule \5\
adopted by the Commission to extend the current interactive data
voluntary reporting program to enable mutual funds voluntarily to
submit supplemental tagged information contained in the risk/return
summary section of their prospectuses from Form N-1A using the mutual
fund risk/return summary taxonomy developed by the Investment Company
Institute (``ICI''). As with the voluntary interactive data program
initiated by the Commission in 2005, in which companies voluntarily
agree to furnish financial data as exhibit documents in eXtensible
Business Reporting Language (``XBRL'') format, the risk/return summary
data submitted by mutual funds must also be provided as exhibit
documents in XBRL format. A mutual fund submitting tagged risk/return
summary information as an exhibit to Form N-1A will be required to name
each document ``EX-100'' as specified in the EDGAR Filer Manual. In
addition, the XBRL exhibit documents submitted require the use of the
appropriate version of standard taxonomies supported by EDGAR. Those
standard taxonomies, including the ICI's Mutual Fund Risk/Return
Summary Taxonomy, are provided on the SEC's ``Information for EDGAR
Filers'' webpage and include a listing of applicable XBRL schemas and
linkbases. Core XBRL, XBRL linkbase, eXtensible Markup Language (XML),
and XLink schemas and specifications are listed in the EDGAR Filer
Manual, Volume II: ``EDGAR Filing''. A mutual fund choosing to tag its
risk/return summary information also would continue to file this
information in HTML or ASCII format, as currently required.
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\5\ See Release No. 33-8823 (July 11, 2007) [72 FR 39290].
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The filer manual is also being revised to incorporate changes made
to support final rules previously adopted by the Commission and
implemented in EDGAR. Those rules and EDGAR changes are described
below.
The termination of a foreign private issuer's 12(g)
reporting obligations \6\ regarding a class of debt securities and to
cease its duty to file reports under Section 13(a) or 15(d) of the
Exchange Act;
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\6\ See Release No. 34-55540 (March 27, 2007) [72 FR 16934].
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This revision included the addition of new submission types 15F-
12B, 15F-12B/A, 15F-12G, 15F-12G/A, 15F-15D, 15F-15D/A which can be
submitted using the EDGARLink software and Submission Template
3.
The electronic filing of forms \7\ TA-1, TA-2 and TA-W;
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\7\ See Release No. 34-54864 (December 4, 2006) [71 FR 74698].
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This revision included the addition of electronic forms for the
filing of the registration, annual report, and withdrawal from
registration of transfer agents. The EDGARLite application was
introduced as the tool for filers to use in the creation of their EDGAR
submissions. Filers download the EDGARLite package from the EDGAR
OnlineForms/XML Web site and install it on their desktop. EDGARLite
consists of a Commercial off the Shelf (COTS) software package,
Microsoft InfoPath \8\ (MS InfoPath), and electronic form templates
provided by the Commission. The forms are encoded in Extensible Markup
Language (XML) and are submitted to EDGAR using the OnlineForms/XML Web
site.
Revisions to the accelerated filer definition \9\ and
accelerated periodic report filing deadlines under the Exchange Act;
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\8\ MS InfoPath 2003 or MS InfoPath 2007 can be used and comes
with the Professional Enterprise Edition of Microsoft Office or can
be purchased separately for approximately $200.
\9\ See Release No. 33-8644 (December 21, 2005) [70 FR 76626].
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The addition of a required ``Accelerated Filer Status'' indicator
to EDGARLink submission headers for 10-K, 10-K/A, 10-KT, 10-KT/A, 20-F,
and 20-F/A forms allows filers of these form types to select one of the
following accelerated filer classification values: Large Accelerated
Filer, Accelerated Filer, Non-accelerated Filer, and Not Applicable
(should be used if a filer is filing an amendment to a Form 10-K or
Form 20-F submission for a period that occurred before the accelerated
filer
[[Page 46561]]
definition went into effect). The accelerated filer classification is
directly related to the filer's reporting deadline as illustrated in
the following: \10\
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\10\ See Release No. 33-8644 (December 21, 2005) [70 FR 76626].
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Revised deadlines for filing periodic
reports
Category of filer -----------------------------------------
Form 10-Q
Form 10-K deadline deadline
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Large Accelerated Filer 75 days for fiscal 40 days.
($700MM or more). years ending before
December 15, 2006 and
60 days for fiscal
years ending on or
after December 15,
2006.
Accelerated Filer ($75MM or 75 days............... 40 days.
more and less than $700MM).
Non-accelerated Filer (less 90 days............... 45 days.
than $75MM).
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Additional revisions were made to permit a domestic issuer to
indicate whether reporting obligations still exist after terminating
registration of a class of equity securities under the Exchange Act.
The addition of a required ``Duty to File Reports Remains'' indicator
in EDGARLink submission headers for submission types 15-12B, 15-12B/A,
15-12G, 15-12G/A, 15-15D and 15-15D/A allows filers of these form types
to indicate whether it is still subject to reporting obligations under
the Exchange Act.
Finally, we removed from ``Table 3-5: Investment Company Submission
Types Accepted by EDGAR'' of the Filer Manual the reference to
submission types N-14AE and N-14AE/A for the filing of Form N-14. All
open-end investment companies, including those filed with automatic
effectiveness under Rule 488 (business combinations), are to use
submission types N-14 and N-14/A for these filings.
For the extension of the current interactive data voluntary
reporting program to enable mutual funds voluntarily to submit
supplemental tagged information contained in the risk/return summary
section of their prospectuses being implemented in EDGAR Release 9.7,
the EDGARLink software and submission templates will not be updated.
Notice of the new release has previously been provided on the EDGAR
Filing Web site and on the Commission's public Web site. The discrete
updates are reflected in the updated Filer Manual Volumes.
Along with adoption of the Filer Manual, we are amending Rule 301
of Regulation S-T to provide for the incorporation by reference into
the Code of Federal Regulations of today's revisions. This
incorporation by reference was approved by the Director of the Federal
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51.
You may obtain paper copies of the updated Filer Manual at the
following address: Public Reference Room, U.S. Securities and Exchange
Commission, 100 F Street, NE., Room 1580, Washington, DC 20549, on
official business days between the hours of 10 a.m. and 3 p.m. We will
post electronic format copies on the Commission's Web site; the address
for the Filer Manual is https://www.sec.gov/info/edgar.shtml. You may
also obtain copies from Thomson Financial, the paper document
contractor for the Commission, at (800) 638-8241.
Since the Filer Manual relates solely to agency procedures or
practice, publication for notice and comment is not required under the
Administrative Procedure Act (APA).\11\ It follows that the
requirements of the Regulatory Flexibility Act \12\ do not apply.
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\11\ 5 U.S.C. 553(b).
\12\ 5 U.S.C. 601-612.
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The effective date for the updated Filer Manual and the rule
amendments is August 20, 2007. In accordance with the APA,\13\ we find
that there is good cause to establish an effective date less than 30
days after publication of these rules. The EDGAR system upgrade to
Release 9.7 is scheduled to become available on August 20, 2007. The
Commission believes that it is necessary to coordinate the
effectiveness of the updated Filer Manual with the scheduled system
upgrade.
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\13\ 5 U.S.C. 553(d)(3).
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Statutory Basis
We are adopting the amendments to Regulation S-T under Sections 6,
7, 8, 10, and 19(a) of the Securities Act of 1933,\14\ Sections 3, 12,
13, 14, 15, 23, and 35A of the Exchange Act,\15\ Section 319 of the
Trust Indenture Act of 1939,\16\ and Sections 8, 30, 31, and 38 of the
Investment Company Act of 1940.\17\
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\14\ 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
\15\ 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll.
\16\ 15 U.S.C. 77sss.
\17\ 15 U.S.C. 80a-8, 80a-29, 80a-30, and 80a-37.
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List of Subjects in 17 CFR Part 232
Incorporation by reference, Reporting and recordkeeping
requirements, Securities.
Text of the Amendment
In accordance with the foregoing, Title 17, Chapter II of the Code
of Federal Regulations is amended as follows:
PART 232--REGULATION S-T--GENERAL RULES AND REGULATIONS FOR
ELECTRONIC FILINGS
0
1. The authority citation for part 232 continues to read in part as
follows:
Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 77sss(a),
78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll(d), 79t(a), 80a-8, 80a-
29, 80a-30, 80a-37, and 7201 et seq.; and 18 U.S.C. 1350.
* * * * *
0
2. Section 232.301 is revised to read as follows:
Sec. 232.301 EDGAR Filer Manual.
Filers must prepare electronic filings in the manner prescribed by
the EDGAR Filer Manual, promulgated by the Commission, which sets out
the technical formatting requirements for electronic submissions. The
requirements for becoming an EDGAR Filer and updating company data are
set forth in the updated EDGAR Filer Manual, Volume I: ``General
Information,'' Version 4 (August 2007). The requirements for filing on
EDGAR are set forth in the updated EDGAR Filer Manual, Volume II:
``EDGAR Filing,'' Version 5 (August 2007). Additional provisions
applicable to Form N-SAR filers are set forth in the EDGAR Filer
Manual, Volume III: ``N-SAR Supplement,'' Version 1 (September 2005).
All of these provisions have been incorporated by reference into the
Code of Federal Regulations, which action was approved by the Director
of the
[[Page 46562]]
Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51.
You must comply with these requirements in order for documents to be
timely received and accepted. You can obtain paper copies of the EDGAR
Filer Manual from the following address: Public Reference Room, U.S.
Securities and Exchange Commission, 100 F Street, NE., Room 1580,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m., or by calling Thomson Financial at (800) 638-8241.
Electronic copies are available on the Commission's Web site. The
address for the Filer Manual is https://www.sec.gov/info/edgar.shtml.
You can also photocopy the document at the National Archives and
Records Administration (NARA). For information on the availability of
this material at NARA, call 202-741-6030, or go to: https://
www.archives.gov/federal_register/code_of_federal_regulations/ibr_
locations.html.
Dated: August 15, 2007.
By the Commission.
Florence E. Harmon,
Deputy Secretary .
[FR Doc. E7-16414 Filed 8-20-07; 8:45 am]
BILLING CODE 8010-01-P
