Adoption of Updated EDGAR Filer Manual, 38523-38524 [E9-18434]

Download as PDF Federal Register / Vol. 74, No. 148 / Tuesday, August 4, 2009 / Rules and Regulations Issued in Washington, DC, on July 30, 2009. Pamela Hamilton-Powell, Director, Office of Rulemaking. [FR Doc. E9–18602 Filed 8–3–09; 8:45 am] BILLING CODE 4910–13–P SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33–9058; 34–60390; 39–2466; IC–28838] Adoption of Updated EDGAR Filer Manual rmajette on DSK29S0YB1PROD with RULES AGENCY: Securities and Exchange Commission. ACTION: 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. The revisions were made primarily to support the 2009 US GAAP Taxonomy, the Schedule of Investments (SOI) Taxonomy and to communicate a change in the Filer Support hours to 9 a.m. to 5:30 p.m. The revisions to the Filer Manual reflect changes within Volume I entitled EDGAR Filer Manual, Volume I: ‘‘General Information,’’ Version 7 (July 2009) and Volume II entitled EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing,’’ Version 12 (July 2009). The updated manual will be incorporated by reference into the Code of Federal Regulations. DATES: Effective Date: August 4, 2009. The incorporation by reference of certain publications listed in the rule is approved by the Director of the Federal Register as of August 4, 2009. FOR FURTHER INFORMATION CONTACT: In the Office of Information Technology, contact Rick Heroux, at (202) 551–8800; in the Office of Interactive Disclosure for questions concerning the 2009 US GAAP Taxonomy and the Schedule of Investments Taxonomy contact Jeffrey Naumann, Assistant Director of the Office of Interactive Disclosure, at (202) 551–5352; in the Division of Corporation Finance, for questions on the change in filer support hours of operation, the Form D entity type description requirement or the requirement to provide additional information on the authentication documentation for Update Passphrase and Convert Paper Filer to Electronic Filer requests contact Cecile Peters, Chief, Office of Information Technology, VerDate Nov<24>2008 15:40 Aug 03, 2009 Jkt 217001 at (202) 551–3600; and in the Division of Investment Management for questions on changing investment company type contact Ruth Armfield Sanders, Senior Special Counsel, Office of Legal and Disclosure, at (202) 551–6989. SUPPLEMENTARY INFORMATION: We are adopting an updated EDGAR Filer Manual, Volume I and Volume 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 may consult the Filer Manual in conjunction with our rules governing mandated electronic filing when preparing documents for electronic submission.4 The EDGAR system will be upgraded to Release 9.16 on July 20, 2009 and will introduce the following changes: Interactive Data/XBRL Changes: The existing US GAAP Taxonomy will be upgraded to the 2009 US GAAP Taxonomy; the US GAAP Beta 2.0 Taxonomy will no longer be supported; and, the system will support the Schedule of Investments Taxonomy 2008. Taxonomy details can be found on the SEC public Web site’s ‘‘EDGAR Standard Taxonomies’’ Web page (https://www.sec.gov/info/edgar/ edgartaxonomies.shtml). Chapter 6 (Interactive Data) of the EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing’’ has been updated to make minor clarifications to the instructions on XBRL/Interactive Data Tagging. New Filer Support Hours: The updated EDGAR Filer Manual makes the business hours for all EDGAR Filer Support branches uniform and conforms them to the Commission’s official business hours of 9 a.m. to 5:30 p.m. Eastern Time. The manual notes that for 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 April 23, 2009. See Release No. 33–9027 (April 16, 2009) [74 FR 18465]. 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 No. 33–9027 (April 16, 2009) [74 FR 18465] in which we implemented EDGAR Release 9.15.1. For a complete history of Filer Manual rules, please see the cites therein. PO 00000 Frm 00021 Fmt 4700 Sfmt 4700 38523 the first time filers may leave voice mail for calls placed outside of the official business hours. Filer Management: Filers will be required to provide the printed name and title or position of the authorized person signing on both the Update Passphrase and Convert Paper Only Filer to Electronic Filer requests, which are faxed to the SEC. A new fax line will be added for submitting Form ID notarized authentication documentation. The new fax line number will be (703) 813–6961. The EDGAR Filing Web site will be updated to allow filers to change their investment company type (ICT) from the ‘‘Enter Series and Classes (Contracts) Information’’ option under the Retrieve/ Edit Data menu. Minor description changes were made to submission form types DEFM14A and PREM14A. 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 1520, 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. 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).5 It follows that the requirements of the Regulatory Flexibility Act 6 do not apply. The effective date for the updated Filer Manual and the rule amendments is August 4, 2009. In accordance with the APA,7 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 9.16 is scheduled to be available on July 20, 2009. The Commission believes that establishing an effective date less than 30 days after publication of these rules is necessary to coordinate the effectiveness of the updated Filer Manual with the system upgrade. 55 U.S.C. 553(b). U.S.C. 601–612. 7 5 U.S.C. 553(d)(3). 65 E:\FR\FM\04AUR1.SGM 04AUR1 38524 Federal Register / Vol. 74, No. 148 / Tuesday, August 4, 2009 / Rules and Regulations 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 1933,8 Sections 3, 12, 13, 14, 15, 23, and 35A of the Securities Exchange Act of 1934,9 Section 319 of the Trust Indenture Act of 1939,10 and Sections 8, 30, 31, and 38 of the Investment Company Act of 1940.11 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: ■ Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 77z–3, 77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll, 80a–6(c), 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: rmajette on DSK29S0YB1PROD with RULES 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 7 (July 2009). The requirements for filing on EDGAR are set forth in the updated EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing,’’ Version 12 (July 2009). 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 Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. You must comply with these requirements in U.S.C. 77f, 77g, 77h, 77j, and 77s(a). U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll. 10 15 U.S.C. 77sss. 11 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37. 9 15 VerDate Nov<24>2008 15:40 Aug 03, 2009 Jkt 217001 BILLING CODE 8010–01–P DEPARTMENT OF HOMELAND SECURITY 33 CFR Parts 100, 147 and 165 EDGAR Filer Manual. 8 15 By the Commission. Dated: July 28, 2009. Elizabeth M. Murphy, Secretary. [FR Doc. E9–18434 Filed 8–3–09; 8:45 am] Coast Guard ■ § 232.301 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 1520, Washington, DC 20549, or call (202) 551–5850, on official business days between the hours of 10 a.m. and 3 p.m. 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 inspect 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. [USCG–2009–0677] District Eight Safety Zones and Special Local Regulations Coast Guard, DHS. Notice of expired temporary rules issued. AGENCY: ACTION: SUMMARY: This document provides required notice of substantive rules issued by the Coast Guard and temporarily effective between May 2006 and January 2009, that expired before they could be published in the Federal Register. This notice lists safety zones and special local regulations issued in the Eighth Coast Guard District, all of very limited duration and for which timely publication in the Federal Register was not possible. DATES: This document lists temporary Coast Guard rules that became effective and were terminated between May 15, 2006 and January 9, 2009. ADDRESSES: Documents listed in this preamble under the USCG–200#–#### format are available for electronic viewing under their individual docket numbers at https://www.regulations.gov. All other document formats are available for viewing online under PO 00000 Frm 00022 Fmt 4700 Sfmt 4700 Notice USCG–2009–0677 at https:// www.regulations.gov. These documents are also available for inspection or copying at the Docket Management Facility (M–30), U.S. Department of Transportation, West Building Ground Floor, Room W12–140, 1200 New Jersey Avenue, SE., Washington, DC 20590 between 9 a.m. and 5 p.m., Monday through Friday, except Federal Holidays. FOR FURTHER INFORMATION CONTACT: For questions on this notice contact Yeoman First Class Denise Johnson, Office of Regulations and Administrative Law, telephone (202) 372–3862. For questions on viewing, or on submitting material to the docket, contact Ms. Angie Ames, Docket Operations, telephone 202–366– 5115. SUPPLEMENTARY INFORMATION: Coast Guard District Commanders and Captains of the Port (COTP) must be immediately responsive to the safety and security needs within their jurisdiction; therefore, District Commanders and COTPs have been delegated the authority to issue certain local regulations. Safety zones may be established for safety or environmental purposes. A safety zone may be stationary and described by fixed limits or it may be described as a zone around a vessel in motion. Special local regulations are issued to enhance the safety of participants and spectators at regattas and other marine events. Timely publication of these rules in the Federal Register is often precluded when a rule responds to an emergency, or when an event occurs without sufficient advance notice. The affected public is, however, informed of these rules through Local Notices to Mariners, press releases, and other means. Moreover, actual notification is provided by Coast Guard patrol vessels enforcing the restrictions imposed by the rule. Because Federal Register publication was not possible before the beginning of the effective period, mariners were personally notified of the contents of these safety zones by Coast Guard officials’ on-scene prior to any enforcement action. However, the Coast Guard, by law, must publish in the Federal Register notice of substantive rules adopted. To meet this obligation without imposing undue expense on the public, the Coast Guard is publishing a list of expired temporary regulations pertaining to the Eighth Coast Guard District, which is headquartered in New Orleans, Louisiana. Permanent rules are not included in this list because they are published in their entirety in the Federal Register. Temporary rules are also published in their entirety if E:\FR\FM\04AUR1.SGM 04AUR1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 74, Number 148 (Tuesday, August 4, 2009)]
[Rules and Regulations]
[Pages 38523-38524]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-18434]


=======================================================================
-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 232

[Release Nos. 33-9058; 34-60390; 39-2466; IC-28838]


Adoption of Updated EDGAR Filer Manual

AGENCY: Securities and Exchange Commission.

ACTION: 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. The revisions were made primarily to support the 2009 US GAAP 
Taxonomy, the Schedule of Investments (SOI) Taxonomy and to communicate 
a change in the Filer Support hours to 9 a.m. to 5:30 p.m. The 
revisions to the Filer Manual reflect changes within Volume I entitled 
EDGAR Filer Manual, Volume I: ``General Information,'' Version 7 (July 
2009) and Volume II entitled EDGAR Filer Manual, Volume II: ``EDGAR 
Filing,'' Version 12 (July 2009). The updated manual will be 
incorporated by reference into the Code of Federal Regulations.

DATES: Effective Date: August 4, 2009. The incorporation by reference 
of certain publications listed in the rule is approved by the Director 
of the Federal Register as of August 4, 2009.

FOR FURTHER INFORMATION CONTACT: In the Office of Information 
Technology, contact Rick Heroux, at (202) 551-8800; in the Office of 
Interactive Disclosure for questions concerning the 2009 US GAAP 
Taxonomy and the Schedule of Investments Taxonomy contact Jeffrey 
Naumann, Assistant Director of the Office of Interactive Disclosure, at 
(202) 551-5352; in the Division of Corporation Finance, for questions 
on the change in filer support hours of operation, the Form D entity 
type description requirement or the requirement to provide additional 
information on the authentication documentation for Update Passphrase 
and Convert Paper Filer to Electronic Filer requests contact Cecile 
Peters, Chief, Office of Information Technology, at (202) 551-3600; and 
in the Division of Investment Management for questions on changing 
investment company type contact Ruth Armfield Sanders, Senior Special 
Counsel, Office of Legal and Disclosure, at (202) 551-6989.

SUPPLEMENTARY INFORMATION: We are adopting an updated EDGAR Filer 
Manual, Volume I and Volume 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.
---------------------------------------------------------------------------

    \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 April 23, 2009. See Release No. 33-9027 (April 16, 
2009) [74 FR 18465].
    \2\ This is the filer assistance software we provide filers 
filing on the EDGAR system.
---------------------------------------------------------------------------

    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 may consult the Filer Manual in conjunction with our 
rules governing mandated electronic filing when preparing documents for 
electronic submission.\4\
---------------------------------------------------------------------------

    \3\ See Rule 301 of Regulation S-T (17 CFR 232.301).
    \4\ See Release No. 33-9027 (April 16, 2009) [74 FR 18465] in 
which we implemented EDGAR Release 9.15.1. For a complete history of 
Filer Manual rules, please see the cites therein.
---------------------------------------------------------------------------

    The EDGAR system will be upgraded to Release 9.16 on July 20, 2009 
and will introduce the following changes: Interactive Data/XBRL 
Changes: The existing US GAAP Taxonomy will be upgraded to the 2009 US 
GAAP Taxonomy; the US GAAP Beta 2.0 Taxonomy will no longer be 
supported; and, the system will support the Schedule of Investments 
Taxonomy 2008. Taxonomy details can be found on the SEC public Web 
site's ``EDGAR Standard Taxonomies'' Web page (https://www.sec.gov/info/edgar/edgartaxonomies.shtml). Chapter 6 (Interactive Data) of the EDGAR 
Filer Manual, Volume II: ``EDGAR Filing'' has been updated to make 
minor clarifications to the instructions on XBRL/Interactive Data 
Tagging.
    New Filer Support Hours: The updated EDGAR Filer Manual makes the 
business hours for all EDGAR Filer Support branches uniform and 
conforms them to the Commission's official business hours of 9 a.m. to 
5:30 p.m. Eastern Time. The manual notes that for the first time filers 
may leave voice mail for calls placed outside of the official business 
hours.
    Filer Management: Filers will be required to provide the printed 
name and title or position of the authorized person signing on both the 
Update Passphrase and Convert Paper Only Filer to Electronic Filer 
requests, which are faxed to the SEC.
    A new fax line will be added for submitting Form ID notarized 
authentication documentation. The new fax line number will be (703) 
813-6961.
    The EDGAR Filing Web site will be updated to allow filers to change 
their investment company type (ICT) from the ``Enter Series and Classes 
(Contracts) Information'' option under the Retrieve/Edit Data menu.
    Minor description changes were made to submission form types 
DEFM14A and PREM14A.
    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 1520, 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.
    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).\5\ It follows that the requirements 
of the Regulatory Flexibility Act \6\ do not apply.
---------------------------------------------------------------------------

    \5\ 5 U.S.C. 553(b).
    \6\ 5 U.S.C. 601-612.
---------------------------------------------------------------------------

    The effective date for the updated Filer Manual and the rule 
amendments is August 4, 2009. In accordance with the APA,\7\ 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 9.16 is scheduled to be available on July 20, 2009. The 
Commission believes that establishing an effective date less than 30 
days after publication of these rules is necessary to coordinate the 
effectiveness of the updated Filer Manual with the system upgrade.
---------------------------------------------------------------------------

    \7\ 5 U.S.C. 553(d)(3).

---------------------------------------------------------------------------

[[Page 38524]]

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,\8\ Sections 3, 12, 
13, 14, 15, 23, and 35A of the Securities Exchange Act of 1934,\9\ 
Section 319 of the Trust Indenture Act of 1939,\10\ and Sections 8, 30, 
31, and 38 of the Investment Company Act of 1940.\11\
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
    \9\ 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll.
    \10\ 15 U.S.C. 77sss.
    \11\ 15 U.S.C. 80a-8, 80a-29, 80a-30, and 80a-37.
---------------------------------------------------------------------------

List of Subjects in 17 CFR Part 232

    Incorporation by reference, Reporting and recordkeeping 
requirements, Securities.

Text of the Amendment

0
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), 77z-3, 
77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll, 80a-6(c), 
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 7 (July 2009). The requirements for filing on 
EDGAR are set forth in the updated EDGAR Filer Manual, Volume II: 
``EDGAR Filing,'' Version 12 (July 2009). 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 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 1520, 
Washington, DC 20549, or call (202) 551-5850, on official business days 
between the hours of 10 a.m. and 3 p.m. 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 inspect 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.

    By the Commission.

    Dated: July 28, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E9-18434 Filed 8-3-09; 8:45 am]
BILLING CODE 8010-01-P

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.