Adoption of Updated EDGAR Filer Manual, 47438-47440 [2011-19824]

Download as PDF 47438 Federal Register / Vol. 76, No. 151 / Friday, August 5, 2011 / Rules and Regulations Authority: 15 U.S.C. 2051–2089, 86 Stat. 1207; 15 U.S.C. 8001–8008, 121 Stat. 1794. ■ 2. Add § 1450.3 to read as follows: § 1450.3 Incorporation by Reference. (a) Each swimming pool or spa drain cover manufactured, distributed, or entered into commerce in the United States shall conform to the entrapment protection standards of ANSI/APSP–16 2011, Suction Fittings for Use in Swimming Pools, Wading Pools, Spas, and Hot Tubs, approved on February 17, 2011. The Director of the Federal Register approves this incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy from the Association of Pool & Spa Professionals, 2111 Eisenhower Avenue, Alexandria, Virginia 22314; https://www.apsp.org, telephone 703–838–0083. You may inspect a copy at the Office of the Secretary, U.S. Consumer Product Safety Commission, Room 820, 4330 East West Highway, Bethesda, MD 20814, telephone 301–504–7923, or 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. (b) [Reserved] Dated: August 2, 2011. Todd A. Stevenson, Secretary, U.S. Consumer Product Safety Commission. [FR Doc. 2011–19861 Filed 8–4–11; 8:45 am] BILLING CODE 6355–01–P SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33–9246; 34–64996; 39–2477; IC–29740] Adoption of Updated EDGAR Filer Manual Securities and Exchange Commission. ACTION: Final rule. AGENCY: 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 are being made primarily to retire the offline EDGARLink tool and the associated templates; to support the electronic filing of submission form erowe on DSKG8SOYB1PROD with RULES SUMMARY: VerDate Mar<15>2010 14:55 Aug 04, 2011 Jkt 223001 types 13H, 13H–A, 13H–Q, 13H–I, 13H– T, 13H–R, for large trader registration, and N–PX–CR, N–PX–FM, N–PX–NT, N–PX–VR and their amendments; to update submission form types N–PX and N–PX/A; to update the OMB information on Forms 3, 4, 5, and 25– NSE; to support minor validation updates for Form N–MFP submissions; and to add four new applicant types to the Form ID. The EDGAR system is scheduled to be upgraded to support this functionality on August 1, 2011. The filer manual is also being revised to address changes previously made in EDGAR. DATES: Effective Date: August 5, 2011. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of August 5, 2011. FOR FURTHER INFORMATION CONTACT: In the Division of Corporation Finance, for questions concerning Form 8–K Item 1.04, Exhibit 95, and Forms 3, 4, 5 contact Cecile Peters, Chief, Office of Information Technology, at (202) 551– 3600; in the Division of Investment Management for questions regarding submission form types N–PX, N–PX/A, N–PX–CR, N–PX–FM, N–PX–NT, N– PX–VR, and Form N–MFP contact Ruth Armfield Sanders, Senior Special Counsel, Office of Legal and Disclosure, at (202) 551–6989; in the Division of Trading and Markets for questions concerning Form 13H contact Richard R. Holley III, Senior Special Counsel, at (202) 551–5614, for questions concerning addition of new applicant types contact Catherine Moore, at (202) 551–5718, and for questions concerning Submission form type 25–NSE contact Steven Kuan, at (202) 551–5624 ; in the Office of Interactive Disclosure for questions concerning US GAAP 2011 Taxonomy contact Jeffrey Naumann, Assistant Director of the Office of Interactive Disclosure, at (202) 551– 5352 and in the Office of Information Technology, contact Rick Heroux, at (202) 551–8800. SUPPLEMENTARY INFORMATION: We are adopting an updated EDGAR Filer Manual, Volume I, Volume II, and Volume III. 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 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 January 11, 2011. See Release No. 33– 9169 (January 5, 2011) [76 FR 1514]. PO 00000 Frm 00016 Fmt 4700 Sfmt 4700 EDGARLink Online,2 and the Online Forms/XML Web site. The revisions to the Filer Manual reflect changes within Volume I entitled EDGAR Filer Manual, Volume I: ‘‘General Information,’’ Version 10 (August 2011), Volume II entitled EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing,’’ Version 17 (August 2011), and Volume III entitled EDGAR Filer Manual Volume III: ‘‘N–SAR Supplement’’ Version 2 (August 2011). The updated manual will be incorporated by reference into the Code of Federal Regulations. 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 11.2 on August 1, 2011 and will retire the offline EDGARLink tool and the associated templates. As communicated in a notice posted on April 26, 2011 on the Information for EDGAR Filers Web page (https:// www.sec.gov/info/edgar.shtml), starting August 1, 2011, filings created by the offline tool EDGARLink client or those constructed by filers according to the EDGAR XFDL Technical Specification will no longer be accepted by EDGAR. The EDGARLink Online Application, available from the EDGAR Filing Web site (https://www.edgarfiling.sec.gov/), must be used to file all submissions previously supported by the offline EDGARLink tool. Those filers that use the EDGAR XFDL Technical Specification to create filer-constructed submissions without the use of the EDGARLink tool, and wish to do the same outside of the EDGARLink Online Application, can do so by following the EDGARLink Online XML Technical Specification, available from the Information for EDGAR Filers Web page. New submission form types 13H, 13H–A, 13H–Q, 13H–I, 13H–T, and 13H–R will be added to the EDGAR Filing Web site and will be available for use if the Commission adopts a final rule associated with Proposing Release 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. 33–9169 (January 5, 2011) [76 FR 1514] in which we implemented EDGAR Release 10.4. For additional history of Filer Manual rules, please see the cites therein. E:\FR\FM\05AUR1.SGM 05AUR1 erowe on DSKG8SOYB1PROD with RULES Federal Register / Vol. 76, No. 151 / Friday, August 5, 2011 / Rules and Regulations No.34–61908. If adopted by the Commission, the submission form types will be accessible by selecting a ‘‘File 13H’’ link on the EDGAR Filing Web site. These non-public submissions will not be disseminated by EDGAR. The Commission has proposed rulemaking that would amend Form N– PX so that institutional investment managers would be able to use Form N– PX to report their proxy votes on certain executive compensation matters. For institutional investment managers, new submission form types N–PX–CR, N– PX–NT, N–PX–VR and their amendments will be added on EDGARLink Online for use if the proposed amendments are adopted. The Commission has also proposed rulemaking that would amend Form N– PX to add a new submission form type N–PX–FM for use by registered management investment companies that include proxy votes of institutional investment managers. New submission form type N–PX–FM will be added to EDGARLink Online for use if the proposed amendments are adopted. Additionally, existing EDGARLink Online submission form types N–PX and N–PX/A, will no longer support coregistrants and can only be filed by registered management investment companies. These submission types will be available to filers on November 1, 2011, or later, pending additional Commission rulemaking related to the amendments to Form N–PX. The validation rules for submission form type N–MFP and its variants have been updated to require ‘‘Item 5’’ (Name of Administrator) and ‘‘Item 6’’ (Name of Transfer Agent) and to allow ‘‘Report Date’’ to be the last business day of the month or any calendar day of the month after the last business day of the month. Previously, the ‘‘Report Date’’ had to be the last business day of the month. In addition, Form N–MFP submissions will be disseminated 60 calendar days after the last calendar day of the Report Date month. Previously, they were disseminated 60 calendar days after the Report Date listed in the submission. The OMB expiration date on Forms 3, 4, 5, and 25–NSE will be updated. Forms 3 and 4 will be updated to November 30, 2011; Form 5 will be updated to January 31, 2014; and Form 25–NSE will be updated to January 31, 2012. The Point-to-Point Protocol transmission method, used to connect to the EDGAR Filing Web site using direct dial lines via modem in case Internet is not available, will be terminated. Filers will use the EDGAR Filing Web site, via the Internet, to submit filings in EDGAR. VerDate Mar<15>2010 14:55 Aug 04, 2011 Jkt 223001 Four additional applicant types will be available for the filers to select when completing the Form ID to apply for EDGAR access codes. These additional applicant types are Institutional Investment Manager (Form 13F Filer), Investment Company (or insurance product separate account) or Business Development Company, Large Trader, and Non-Investment Company Applicant under the 1940 Act. The filer manual is also being revised to address software changes made previously in EDGAR. The updates include addition of new 8–K Item 1.04 (Mine Safety—Reporting of Shutdowns and Patterns of Violations) and addition of new Exhibit 95 (Mine Safety Disclosure Exhibit) for submission form types 10–K, 10–K/A, 10–KT, 10–KT/A, 10–Q, 10–Q/A, 10–QT, 10–QT/A, 20–F, 20–F/A, 40–F, and 40–F/A5. The 8–K Item and the Exhibit 95 will be available for use if the Commission adopts a final rule associated with Proposing Release No. 34–63548. Filers may upload the required notarized authentication document in PDF when completing the process to ‘‘Convert Paper Only Filer to Electronic Filer’’ from the EDGAR Filer Management Web site (https://www.filer management.edgarfiling.sec.gov). Because the Commission establishes a company record on EDGAR for approved Broker-Dealer Registration Applications and creates a central index key (CIK) for that company, Brokerdealers, who may be required to file certain forms electronically on EDGAR, should complete the process to ‘‘Convert Paper Only Filer to Electronic Filer’’, from the EDGAR Filer Management Web site, instead of completing the Form ID (see EDGAR Filer Manual, Volume I, General Information for details). This is because the Form ID should be completed by those for which a CIK has not already been established on EDGAR. Once a Broker-Dealer has completed this process and received the necessary access codes, they will be able to file electronically on EDGAR. In addition, EDGAR was previously updated to support the US GAAP 2011 Taxonomy. And, Appendix G has been revised to give clearer guidance to Form 13F filers to facilitate the correct preparation, assembling, and submission of these filings. 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 PO 00000 Frm 00017 Fmt 4700 Sfmt 4700 47439 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 1543, 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).6 It follows that the requirements of the Regulatory Flexibility Act 7 do not apply. The effective date for the updated Filer Manual and the rule amendments is August 5, 2011. In accordance with the APA,8 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 11.2 is scheduled to become available on August 1, 2011. 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. 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 1933,9 Sections 3, 12, 13, 14, 15, 23, and 35A of the Securities Exchange Act of 1934,10 Section 319 of the Trust Indenture Act of 1939,11 and Sections 8, 30, 31, and 38 of the Investment Company Act of 1940.12 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: 65 U.S.C. 553(b). U.S.C. 601–612. 8 5 U.S.C. 553(d)(3). 9 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a). 10 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll. 11 15 U.S.C. 77sss. 12 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37. 75 E:\FR\FM\05AUR1.SGM 05AUR1 47440 Federal Register / Vol. 76, No. 151 / Friday, August 5, 2011 / Rules and Regulations PART 232—REGULATION S–T— GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS Dated: August 1, 2011. Elizabeth M. Murphy, Secretary. [FR Doc. 2011–19824 Filed 8–4–11; 8:45 am] 1. The authority citation for Part 232 continues to read in part as follows: ■ BILLING CODE P 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. * * * * [Docket No. USCG–2011–0598] 2. Section 232.301 is revised to read as follows: erowe on DSKG8SOYB1PROD with RULES Drawbridge Operation Regulations; Passaic River, Jersey City, NJ 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 10 (August 2011). The requirements for filing on EDGAR are set forth in the updated EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing,’’ Version 17 (August 2011). Additional provisions applicable to Form N–SAR filers are set forth in the EDGAR Filer Manual, Volume III: ‘‘N–SAR Supplement,’’ Version 2 (August 2011). 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 1543, Washington, DC 20549, 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. VerDate Mar<15>2010 14:55 Aug 04, 2011 Coast Guard 33 CFR Part 117 * ■ § 232.301 DEPARTMENT OF HOMELAND SECURITY Jkt 223001 Coast Guard, DHS. Notice of temporary deviation from regulations. AGENCY: ACTION: The Commander, First Coast Guard District, has issued a temporary deviation from the regulation governing the operation of the Route 1 & 9 Bridge across the Passaic River, mile 1.8, at Jersey City, New Jersey. The deviation is necessary to facilitate bridge painting operations at the bridge. This deviation allows the bridge to remain in the closed position for 58 days. DATES: This deviation is effective from August 1, 2011 through September 27, 2011. ADDRESSES: Documents mentioned in this preamble as being available in the docket are part of docket USCG–2011– 0598 and are available online at& https://www.regulations.gov, inserting USCG–2011–0598 in the ‘‘Keyword’’ and then clicking ‘‘Search’’. They 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: If you have questions on this rule, call or e-mail Mr. Joe Arca, Project Officer, First Coast Guard District, joe.m.arca@uscg.mil or telephone (212) 668–7165. If you have questions on viewing the docket, call Renee V. Wright, Program Manager, Docket Operations, telephone 202–366–9826. SUPPLEMENTARY INFORMATION: The Route 1 & 9 Bridge has a vertical clearance of 40 feet at mean high water, and 45 feet at mean low water in the closed position. The existing drawbridge operating regulations are listed at 33 CFR 117.739(b). The waterway is predominantly used by commercial operators. SUMMARY: PO 00000 Frm 00018 Fmt 4700 Sfmt 9990 On December 13, 2010, the owner of the bridge, New Jersey Department of Transportation, requested a temporary deviation to facilitate bridge painting operations. On January 27, 2011, the Coast Guard published a temporary deviation (76 FR 4819) from the operation regulations. The temporary deviation allowed the bridge owner to require a two hour advance notice for bridge openings and several closures of short duration to facilitate bridge painting. As a result of severe winter weather in 2011, the bridge painting project fell behind schedule; therefore, the bridge painting work will not be completed by July 31, 2011, when the first temporary deviation will expire. We received a request for a second temporary deviation from the bridge owner on June 13, 2011, requesting authorization to allow the bridge to remain in the closed position from August 1, 2011 through September 30, 2011, to facilitate completion of the bridge painting work. We were not able to grant a temporary deviation for the additional 60 days requested because that would exceed the maximum of 180 days allowable for temporary deviations from the operation regulations. Therefore, under this temporary deviation the bridge may remain in the closed position for 58 days from August 1, 2011 through September 27, 2011, to facilitate completion of the bridge painting. Vessels able to pass under the closed draw may do so at any time. The waterway users were advised of the second 58 day temporary deviation necessary to complete the bridge painting. No objections were received. In accordance with 33 CFR 117.35(e), the bridge must return to its regular operating schedule immediately at the end of the designated time period. This deviation from the operating regulations is authorized under 33 CFR 117.35. Dated: July 27, 2011. Gary Kassof, Bridge Program Manager, First Coast Guard District. [FR Doc. 2011–19858 Filed 8–4–11; 8:45 am] BILLING CODE 9110–04–P E:\FR\FM\05AUR1.SGM 05AUR1

Agencies

[Federal Register Volume 76, Number 151 (Friday, August 5, 2011)]
[Rules and Regulations]
[Pages 47438-47440]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-19824]


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

SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 232

[Release Nos. 33-9246; 34-64996; 39-2477; IC-29740]


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 are being made primarily to retire the offline 
EDGARLink tool and the associated templates; to support the electronic 
filing of submission form types 13H, 13H-A, 13H-Q, 13H-I, 13H-T, 13H-R, 
for large trader registration, and N-PX-CR, N-PX-FM, N-PX-NT, N-PX-VR 
and their amendments; to update submission form types N-PX and N-PX/A; 
to update the OMB information on Forms 3, 4, 5, and 25-NSE; to support 
minor validation updates for Form N-MFP submissions; and to add four 
new applicant types to the Form ID. The EDGAR system is scheduled to be 
upgraded to support this functionality on August 1, 2011.
    The filer manual is also being revised to address changes 
previously made in EDGAR.

DATES: Effective Date: August 5, 2011. The incorporation by reference 
of the EDGAR Filer Manual is approved by the Director of the Federal 
Register as of August 5, 2011.

FOR FURTHER INFORMATION CONTACT: In the Division of Corporation 
Finance, for questions concerning Form 8-K Item 1.04, Exhibit 95, and 
Forms 3, 4, 5 contact Cecile Peters, Chief, Office of Information 
Technology, at (202) 551-3600; in the Division of Investment Management 
for questions regarding submission form types N-PX, N-PX/A, N-PX-CR, N-
PX-FM, N-PX-NT, N-PX-VR, and Form N-MFP contact Ruth Armfield Sanders, 
Senior Special Counsel, Office of Legal and Disclosure, at (202) 551-
6989; in the Division of Trading and Markets for questions concerning 
Form 13H contact Richard R. Holley III, Senior Special Counsel, at 
(202) 551-5614, for questions concerning addition of new applicant 
types contact Catherine Moore, at (202) 551-5718, and for questions 
concerning Submission form type 25-NSE contact Steven Kuan, at (202) 
551-5624 ; in the Office of Interactive Disclosure for questions 
concerning US GAAP 2011 Taxonomy contact Jeffrey Naumann, Assistant 
Director of the Office of Interactive Disclosure, at (202) 551-5352 and 
in the Office of Information Technology, contact Rick Heroux, at (202) 
551-8800.

SUPPLEMENTARY INFORMATION: We are adopting an updated EDGAR Filer 
Manual, Volume I, Volume II, and Volume III. 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 Online,\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 January 11, 2011. See Release No. 33-9169 (January 
5, 2011) [76 FR 1514].
    \2\ This is the filer assistance software we provide filers 
filing on the EDGAR system.
---------------------------------------------------------------------------

    The revisions to the Filer Manual reflect changes within Volume I 
entitled EDGAR Filer Manual, Volume I: ``General Information,'' Version 
10 (August 2011), Volume II entitled EDGAR Filer Manual, Volume II: 
``EDGAR Filing,'' Version 17 (August 2011), and Volume III entitled 
EDGAR Filer Manual Volume III: ``N-SAR Supplement'' Version 2 (August 
2011). The updated manual will be incorporated by reference into the 
Code of Federal Regulations.
    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. 33-9169 (January 5, 2011) [76 FR 1514] in 
which we implemented EDGAR Release 10.4. For additional history of 
Filer Manual rules, please see the cites therein.
---------------------------------------------------------------------------

    The EDGAR system will be upgraded to Release 11.2 on August 1, 2011 
and will retire the offline EDGARLink tool and the associated 
templates. As communicated in a notice posted on April 26, 2011 on the 
Information for EDGAR Filers Web page (https://www.sec.gov/info/edgar.shtml), starting August 1, 2011, filings created by the offline 
tool EDGARLink client or those constructed by filers according to the 
EDGAR XFDL Technical Specification will no longer be accepted by EDGAR. 
The EDGARLink Online Application, available from the EDGAR Filing Web 
site (https://www.edgarfiling.sec.gov/), must be used to file all 
submissions previously supported by the offline EDGARLink tool. Those 
filers that use the EDGAR XFDL Technical Specification to create filer-
constructed submissions without the use of the EDGARLink tool, and wish 
to do the same outside of the EDGARLink Online Application, can do so 
by following the EDGARLink Online XML Technical Specification, 
available from the Information for EDGAR Filers Web page.
    New submission form types 13H, 13H-A, 13H-Q, 13H-I, 13H-T, and 13H-
R will be added to the EDGAR Filing Web site and will be available for 
use if the Commission adopts a final rule associated with Proposing 
Release

[[Page 47439]]

No.34-61908. If adopted by the Commission, the submission form types 
will be accessible by selecting a ``File 13H'' link on the EDGAR Filing 
Web site. These non-public submissions will not be disseminated by 
EDGAR.
    The Commission has proposed rulemaking that would amend Form N-PX 
so that institutional investment managers would be able to use Form N-
PX to report their proxy votes on certain executive compensation 
matters. For institutional investment managers, new submission form 
types N-PX-CR, N-PX-NT, N-PX-VR and their amendments will be added on 
EDGARLink Online for use if the proposed amendments are adopted.
    The Commission has also proposed rulemaking that would amend Form 
N-PX to add a new submission form type N-PX-FM for use by registered 
management investment companies that include proxy votes of 
institutional investment managers. New submission form type N-PX-FM 
will be added to EDGARLink Online for use if the proposed amendments 
are adopted. Additionally, existing EDGARLink Online submission form 
types N-PX and N-PX/A, will no longer support co-registrants and can 
only be filed by registered management investment companies. These 
submission types will be available to filers on November 1, 2011, or 
later, pending additional Commission rulemaking related to the 
amendments to Form N-PX.
    The validation rules for submission form type N-MFP and its 
variants have been updated to require ``Item 5'' (Name of 
Administrator) and ``Item 6'' (Name of Transfer Agent) and to allow 
``Report Date'' to be the last business day of the month or any 
calendar day of the month after the last business day of the month. 
Previously, the ``Report Date'' had to be the last business day of the 
month. In addition, Form N-MFP submissions will be disseminated 60 
calendar days after the last calendar day of the Report Date month. 
Previously, they were disseminated 60 calendar days after the Report 
Date listed in the submission.
    The OMB expiration date on Forms 3, 4, 5, and 25-NSE will be 
updated. Forms 3 and 4 will be updated to November 30, 2011; Form 5 
will be updated to January 31, 2014; and Form 25-NSE will be updated to 
January 31, 2012.
    The Point-to-Point Protocol transmission method, used to connect to 
the EDGAR Filing Web site using direct dial lines via modem in case 
Internet is not available, will be terminated. Filers will use the 
EDGAR Filing Web site, via the Internet, to submit filings in EDGAR.
    Four additional applicant types will be available for the filers to 
select when completing the Form ID to apply for EDGAR access codes. 
These additional applicant types are Institutional Investment Manager 
(Form 13F Filer), Investment Company (or insurance product separate 
account) or Business Development Company, Large Trader, and Non-
Investment Company Applicant under the 1940 Act.
    The filer manual is also being revised to address software changes 
made previously in EDGAR. The updates include addition of new 8-K Item 
1.04 (Mine Safety--Reporting of Shutdowns and Patterns of Violations) 
and addition of new Exhibit 95 (Mine Safety Disclosure Exhibit) for 
submission form types 10-K, 10-K/A, 10-KT, 10-KT/A, 10-Q, 10-Q/A, 10-
QT, 10-QT/A, 20-F, 20-F/A, 40-F, and 40-F/A5. The 8-K Item and the 
Exhibit 95 will be available for use if the Commission adopts a final 
rule associated with Proposing Release No. 34-63548.
    Filers may upload the required notarized authentication document in 
PDF when completing the process to ``Convert Paper Only Filer to 
Electronic Filer'' from the EDGAR Filer Management Web site (https://www.filer management.edgarfiling.sec.gov).
    Because the Commission establishes a company record on EDGAR for 
approved Broker-Dealer Registration Applications and creates a central 
index key (CIK) for that company, Broker-dealers, who may be required 
to file certain forms electronically on EDGAR, should complete the 
process to ``Convert Paper Only Filer to Electronic Filer'', from the 
EDGAR Filer Management Web site, instead of completing the Form ID (see 
EDGAR Filer Manual, Volume I, General Information for details). This is 
because the Form ID should be completed by those for which a CIK has 
not already been established on EDGAR. Once a Broker-Dealer has 
completed this process and received the necessary access codes, they 
will be able to file electronically on EDGAR.
    In addition, EDGAR was previously updated to support the US GAAP 
2011 Taxonomy. And, Appendix G has been revised to give clearer 
guidance to Form 13F filers to facilitate the correct preparation, 
assembling, and submission of these filings.
    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 1543, 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).\6\ It follows that the requirements 
of the Regulatory Flexibility Act \7\ do not apply.
---------------------------------------------------------------------------

    \6\ 5 U.S.C. 553(b).
    \7\ 5 U.S.C. 601-612.
---------------------------------------------------------------------------

    The effective date for the updated Filer Manual and the rule 
amendments is August 5, 2011. In accordance with the APA,\8\ 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 11.2 is scheduled to become available on August 1, 2011. 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.
---------------------------------------------------------------------------

    \8\ 5 U.S.C. 553(d)(3).
---------------------------------------------------------------------------

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

    \9\ 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
    \10\ 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll.
    \11\ 15 U.S.C. 77sss.
    \12\ 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

    In accordance with the foregoing, Title 17, Chapter II of the Code 
of Federal Regulations is amended as follows:

[[Page 47440]]

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 10 (August 2011). The requirements for filing on 
EDGAR are set forth in the updated EDGAR Filer Manual, Volume II: 
``EDGAR Filing,'' Version 17 (August 2011). Additional provisions 
applicable to Form N-SAR filers are set forth in the EDGAR Filer 
Manual, Volume III: ``N-SAR Supplement,'' Version 2 (August 2011). 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 1543, 
Washington, DC 20549, 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: August 1, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-19824 Filed 8-4-11; 8:45 am]
BILLING CODE P
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.