Adoption of Updated EDGAR Filer Manual, 4766-4768 [2013-01058]

Download as PDF 4766 Federal Register / Vol. 78, No. 15 / Wednesday, January 23, 2013 / Rules and Regulations CHAPTER V—UNDER SECRETARY FOR TECHNOLOGY, DEPARTMENT OF COMMERCE 9. Redesignate Title 15, part 1170 as Title 15, part 273 and transfer to Chapter II, Subchapter I. ■ 16. Title 37, parts 500–599 are transferred from Title 37, Chapter V, to Title 37, Chapter IV. ■ 17. Title 37, Chapter V is removed and reserved. ■ 10. Newly redesignated § 273.3 is amended by revising paragraph (a) to read as follows: ■ § 273.3 General policy. * * * * * (a) The Director of the National Institute of Standards and Technology will assist in coordinating the efforts of Federal agencies in meeting their obligations under the Metric Conversion Act, as amended. * * * * * Title 37—Patents, Trademarks, and Copyrights § 501.3 PART 401—RIGHTS TO INVENTIONS MADE BY NONPROFIT ORGANIZATIONS AND SMALL BUSINESS FIRMS UNDER GOVERNMENT GRANTS, CONTRACTS, AND COOPERATIVE AGREEMENTS 12. The authority citation for Title 37, part 401 is revised to read as follows: ■ Authority: 35 U.S.C. 206; DOO 30–2A. 13. Section 401.2 is amended by revising paragraph (j) to read as follows: ■ Definitions. (a) The term Secretary, as used in this part, means the Director of the National Institute of Standards and Technology. * * * * * ■ 20. Section 501.11 is revised to read as follows: § 501.11 Submissions and inquiries. All submissions or inquiries should be directed to the Chief Counsel for NIST, National Institute of Standards and Technology, 100 Bureau Drive, Mail Stop 1052, Gaithersburg, MD 20899– 1052; telephone: (301) 975–2803; email: nistcounsel@nist.gov. [FR Doc. 2012–27466 Filed 1–22–13; 8:45 am] BILLING CODE 3510–13–P * * * * (j) The term Secretary means the Director of the National Institute of Standards and Technology. * * * * * SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 200 [Release Nos. 34–62575A and PA–47A; File No. S7–19–11] 14. Section 401.17 is revised to read as follows: ■ Administrative practice and procedure, Authority delegations (Government agencies), Organization and functions (Government agencies), Privacy. Accordingly, Title 17, Chapter II of the Code of Federal Regulations is amended as follows: PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS 1. The general authority citation for part 200, subpart A is revised, and a sectional authority for § 200.312 is added to part 200, subpart A in numerical order, to read as follows: ■ Authority: 15 U.S.C. 77o, 77s, 77sss, 78d, 78d–1, 78d–2, 78w, 78ll(d), 78mm, 80a–37, 80b–11, 7202, and 7211 et seq., unless otherwise noted. 15. The authority citation for Title 37, part 404 is revised to read as follows: Authority: 35 U.S.C. 207–209, DOO 30– 2A. Jkt 229001 * * * * Section 200.312 is also issued under 5 U.S.C. 552a(k). * * * * * Dated: January 15, 2013. Elizabeth M. Murphy, Secretary. BILLING CODE 8011–01–P Securities and Exchange Commission. ACTION: Final rule; technical amendment. SECURITIES AND EXCHANGE COMMISSION AGENCY: PART 404—LICENSING OF GOVERNMENT OWNED INVENTIONS 15:13 Jan 22, 2013 List of Subjects in 17 CFR Part 200 [FR Doc. 2013–01202 Filed 1–22–13; 8:45 am] All submissions or inquiries should be directed to the Chief Counsel for NIST, National Institute of Standards and Technology, 100 Bureau Drive, Mail Stop 1052, Gaithersburg, Maryland 20899–1052; telephone: (301) 975–2803; email: nistcounsel@nist.gov. VerDate Mar<15>2010 Linda Cullen, Office of the Secretary, at (202) 551–5402; Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549–1090. SUPPLEMENTARY INFORMATION: The final rules that are subject to this correction included inaccurate amendatory instructions that resulted in the publication of two Editorial Notes to Part 200. This document is intended only to correct the authority citation to subpart A of Part 200 and remove the two Editorial Notes and does not affect any other aspects of the two original final rules. Authority Citation Correction Submissions and inquiries. ■ Effective Date: January 23, 2013. FOR FURTHER INFORMATION CONTACT: * Definitions. * wreier-aviles on DSK5TPTVN1PROD with Authority: Sec. 4, E.O. 10096, 3 CFR, 1949–1953 Comp., p. 292, as amended by E.O. 10930, 3 CFR, 1959–1963 Comp., p. 456 and by E.O. 10695, 3 CFR, 1954–1958 Comp., p. 355, DOO 30–2A. 19. Section 501.3 is amended by revising paragraph (a) to read as follows: CHAPTER IV—NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY, DEPARTMENT OF COMMERCE § 401.17 18. The authority citation for Title 37, part 501 is revised to read as follows: ■ ■ 11. The heading of Title 37, Chapter IV is revised to read as follows: ■ § 401.2 PART 501—UNIFORM PATENT POLICY FOR RIGHTS IN INVENTIONS MADE BY GOVERNMENT EMPLOYEES DATES: On August 6, 2010 and September 16, 2011, the Securities and Exchange Commission (‘‘Commission’’) published documents in the Federal Register (75 FR 47449 and 76 FR 57637, respectively) that each included an inaccurate amendatory instruction pertaining to an authority citation. The Commission is publishing this technical amendment to accurately reflect the authority citation in the Code of Federal Regulations. SUMMARY: PO 00000 Frm 00008 Fmt 4700 Sfmt 4700 17 CFR Parts 232, 239, 249, 269, 274 [Release Nos. 33–9382; 34–68644; 39–2488; IC–30348] Adoption of Updated EDGAR Filer Manual Securities and Exchange Commission. ACTION: Final rule. AGENCY: The Securities and Exchange Commission (the Commission) is SUMMARY: E:\FR\FM\23JAR1.SGM 23JAR1 Federal Register / Vol. 78, No. 15 / Wednesday, January 23, 2013 / Rules and Regulations adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are being made primarily to introduce the new EDGARLink Online submission type IRANNOTICE; and support PDF as an official filing format for submission types 497AD, 40–17G, 40–17G/A, 40– 17GCS, 40–17GCS/A, 40–24B2, and 40– 24B2/A. The EDGAR system is scheduled to be upgraded to support this functionality on January 14, 2013. Effective Date: January 23, 2013. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of January 23, 2013. DATES: In the Division of Corporation Finance, for questions on submission type IRANNOTICE, contact Jeffrey Thomas at (202) 551–3600; in the Division of Investment Management for questions concerning submission types 497AD, 40–17G, 40–17G/A, 40–17GCS, 40– 17GCS/A, 40–24B2, and 40–24B2/A, contact Heather Fernandez at (202) 551– 6708; and in the Office of Information Technology, contact Vanessa Anderson at (202) 551–8800. FOR FURTHER INFORMATION CONTACT: We are adopting an updated EDGAR Filer Manual, 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 Online and the Online Forms/XML Web site. The revisions to the Filer Manual reflect changes within Volume II entitled EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing,’’ Version 22 (January 2013). 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.2 Filers may consult the Filer Manual in conjunction with our rules governing mandated electronic filing wreier-aviles on DSK5TPTVN1PROD with SUPPLEMENTARY INFORMATION: 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 Oct. 4, 2012. See Release No. 33–9364 (October 15, 2012) [77 FR 62431]. 2 See Rule 301 of Regulation S–T (17 CFR 232.301). VerDate Mar<15>2010 15:13 Jan 22, 2013 Jkt 229001 when preparing documents for electronic submission.3 The EDGAR system will be upgraded to Release 13.0 on January 14, 2013 and will introduce the following changes: EDGAR will be updated to introduce a new submission type, IRANNOTICE, on EDGAR Filing Web site for filers to submit notices of disclosure filed in Exchange Act quarterly and annual reports under Section 219 of the Iran Threat Reduction and Syria Human Rights Act of 2012 4 and new section 13(r) of the Securities Exchange Act of 1934.5 Filers may access this submission type from the ‘EDGARLink Online Form Submission’ link on the EDGAR Filing Web site. Additionally, filers may construct XML submissions for this submission type by following the EDGARLink Online Technical Specification document. EDGAR will be updated to allow filers to submit, on a voluntary basis, submission types 497AD, 40–17G, 40– 17G/A, 40–17GCS, 40–17GCS/A, 40– 24B2, and 40–24B2/A in Portable Document Format (PDF) as an official filing format. EDGAR will continue to accept ASCII and HTML as official filing formats for these submissions. The new online version of Form N– SAR deployment has been delayed to April 2013. The specific deployment date will be announced on the Commission’s public Web site’s ‘‘Information for EDGAR Filers’’ page (http://www.sec.gov/info/edgar.shtml). Filers should continue to use the EDGAR Filer Manual, Volume III: N– SAR Supplement to file their N–SAR submissions. When the online version of Form N–SAR is deployed, EDGAR Filer Manual, Volume III: N–SAR Supplement will be retired. Instructions to file the online version of Form N– SAR addressed in Chapter 9 of EDGAR Filer Manual, Volume II: EDGAR Filing should then be followed. Along with the 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 51.6 3 See Release No. 33–9364 (October 15, 2012) [77 FR 62431] in which we implemented EDGAR Release 12.2. For additional history of Filer Manual rules, please see the cites therein. 4 Public Law 112–158. 5 15 U.S.C. 78m(r). 6 We also are making a technical correction to the instructions of Form ID (referenced in 17 CFR 239.63, 249.446, 269.7 and 274.402) to conform them with a recent change we made to Rules 10 (17 CFR 232.10) and 101 (17 CFR 232.101) of PO 00000 Frm 00009 Fmt 4700 Sfmt 4700 4767 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 10:00 a.m. and 3:00 p.m. We will post electronic format copies on the Commission’s Web site; the address for the Filer Manual is http://www.sec.gov/ info/edgar.shtml. Since the Filer Manual and the corresponding rule changes relate solely to agency procedures or practice, publication for notice and comment is not required under the Administrative Procedure Act (APA).7 It follows that the requirements of the Regulatory Flexibility Act 8 do not apply. The effective date for the updated Filer Manual and the rule amendments is January 23, 2013. In accordance with the APA,9 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 13.0 is scheduled to become available on January 14, 2013. 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 1933,10 Sections 3, 12, 13, 14, 15, 23, and 35A of the Securities Exchange Act of 1934,11 Section 319 of the Trust Indenture Act of 1939,12 and Sections 8, 30, 31, and 38 of the Investment Company Act of 1940.13 List of Subjects 17 CFR Part 232 Incorporation by reference, Reporting and recordkeeping requirements, Securities. 17 CFR Parts 239, 249 and 269 Reporting and recordkeeping requirements, Securities. Regulation S–T and the EDGAR Filer Manual relating to the use of PDF files in connection with the Form ID authentication process. See Release No. 33–9353 (Aug. 29, 2012). 7 5 U.S.C. 553(b). 8 5 U.S.C. 601– 612. 9 5 U.S.C. 553(d)(3). 10 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a). 11 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll. 12 15 U.S.C. 77sss. 13 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37. E:\FR\FM\23JAR1.SGM 23JAR1 4768 Federal Register / Vol. 78, No. 15 / Wednesday, January 23, 2013 / Rules and Regulations 17 CFR Part 274 Investment companies, 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: PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 3. The authority citation for Part 239 continues to read, in part, as follows: ■ Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s, 77z–2, 77z–3, 77sss, 78c, 78l, 78m, 78n, 78o(d), 78u–5, 78w(a), 78ll, 78mm, 80a–2(a), 80a–3, 80a–8, 80a–9, 80a–10, 80a–13, 80a– 24, 80a–26, 80a–29, 80a–30, 80a–37, and Pub. L. 111–203, § 939A, 124 Stat. 1376, (2010) unless otherwise noted. * * * * * PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934 ■ 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. assemble the Form ID submission (i.e., associate any attachments with your Form ID application), you must upload them to EDGAR. The PDF document attachment must not contain active content (Actions, embedded JavaScript, etc.), external references (Destinations, Hyperlinks, etc.), and passwords or document security controls. * * * * * Dated: January 14, 2013. By the Commission. Elizabeth M. Murphy, Secretary. [FR Doc. 2013–01058 Filed 1–22–13; 8:45 am] ■ 4. The authority citation for Part 249 continues to read, in part, as follows: BILLING CODE 8011–01–P * Authority: 15 U.S.C. 78a et seq., and 7201 et seq.; and 18 U.S.C. 1350, unless otherwise noted. SECURITIES AND EXCHANGE COMMISSION ■ * 17 CFR Part 240 * * * * 2. Section 232.301 is revised to read as follows: wreier-aviles on DSK5TPTVN1PROD with § 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 EDGAR Filer Manual, Volume I: ‘‘General Information,’’ Version 14 (October 2012). The requirements for filing on EDGAR are set forth in the updated EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing,’’ Version 22 (January 2013). 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 10:00 a.m. and 3:00 p.m. Electronic copies are available on the Commission’s Web site. The address for the Filer Manual is http://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: http://www.archives.gov/ federal_register/ code_of_federal_regulations/ ibr_locations.html. VerDate Mar<15>2010 15:13 Jan 22, 2013 Jkt 229001 * * * * PART 269—FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939 5. The authority citation for Part 269 continues to read as follows: ■ Authority: 15 U.S.C. 77ddd(c), 77eee, 77ggg, 77hhh, 77iii, 77jjj, 77sss, and 78ll(d), unless otherwise noted. PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 6. The authority citation for Part 274 continues to read, in part, as follows: ■ Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s, 78c(b), 78l, 78m, 78n, 78o(d), 80a–8, 80a–24, 80a–26, and 80a–29, unless otherwise noted. * * * * * 7. Form ID (referenced in §§ 239.63, 249.446, 269.7 and 274.402 of this chapter) is amended by revising the fourth paragraph of the section entitled ‘‘Using and Preparing Form ID’’ of the Form ID General Instructions, to read as follows. [The revised Form ID will not appear in the Code of Federal Regulations] ■ FORM ID UNIFORM APPLICATION FOR ACCESS CODES TO FILE ON EDGAR * * * * * FORM ID GENERAL INSTRUCTIONS USING AND PREPARING FORM ID * * * * * The Form ID application must include a notarized authentication document in PDF format. The application can include other attachments such as a cover letter or Power of Attorney. To PO 00000 Frm 00010 Fmt 4700 Sfmt 4700 [Release No. 34–68668; File No. S7–11–11] RIN 3235–AL11 Lost Securityholders and Unresponsive Payees Securities and Exchange Commission. ACTION: Final rule. AGENCY: The Securities and Exchange Commission (‘‘Commission’’) is adopting amendments to Rule 17Ad–17 to implement the requirements of Section 929W of the Dodd-Frank Wall Street Reform and Consumer Protection Act (‘‘Dodd-Frank Act’’). That Section added to Section 17A of the Securities Exchange Act of 1934 (‘‘Exchange Act’’) subsection (g), ‘‘Due Diligence for the Delivery of Dividends, Interest, and Other Valuable Property Rights,’’ which directs the Commission to revise Exchange Act Rule 17Ad–17, ‘‘Transfer Agents’ Obligation to Search for Lost Securityholders’’ to: extend the requirements of Rule 17Ad–17 to search for lost securityholders from only recordkeeping transfer agents to brokers and dealers as well; add a requirement that ‘‘paying agents’’ notify ‘‘unresponsive payees’’ that a paying agent has sent a securityholder a check that has not yet been negotiated; and add certain other provisions. The Commission also is adopting a proposed conforming amendment to Rule 17Ad– 7(i) and new Rule 15b1–6, a technical rule to help ensure that brokers and dealers have notice of their new obligations with respect to lost securityholders and unresponsive payees. DATES: The amendments will become effective on March 25, 2013. The SUMMARY: E:\FR\FM\23JAR1.SGM 23JAR1

Agencies

[Federal Register Volume 78, Number 15 (Wednesday, January 23, 2013)]
[Rules and Regulations]
[Pages 4766-4768]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-01058]


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SECURITIES AND EXCHANGE COMMISSION

17 CFR Parts 232, 239, 249, 269, 274

[Release Nos. 33-9382; 34-68644; 39-2488; IC-30348]


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

[[Page 4767]]

adopting revisions to the Electronic Data Gathering, Analysis, and 
Retrieval System (EDGAR) Filer Manual and related rules to reflect 
updates to the EDGAR system. The revisions are being made primarily to 
introduce the new EDGARLink Online submission type IRANNOTICE; and 
support PDF as an official filing format for submission types 497AD, 
40-17G, 40-17G/A, 40-17GCS, 40-17GCS/A, 40-24B2, and 40-24B2/A. The 
EDGAR system is scheduled to be upgraded to support this functionality 
on January 14, 2013.

DATES: Effective Date: January 23, 2013. The incorporation by reference 
of the EDGAR Filer Manual is approved by the Director of the Federal 
Register as of January 23, 2013.

FOR FURTHER INFORMATION CONTACT: In the Division of Corporation 
Finance, for questions on submission type IRANNOTICE, contact Jeffrey 
Thomas at (202) 551-3600; in the Division of Investment Management for 
questions concerning submission types 497AD, 40-17G, 40-17G/A, 40-
17GCS, 40-17GCS/A, 40-24B2, and 40-24B2/A, contact Heather Fernandez at 
(202) 551-6708; and in the Office of Information Technology, contact 
Vanessa Anderson at (202) 551-8800.

SUPPLEMENTARY INFORMATION: We are adopting an updated EDGAR Filer 
Manual, 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 Online 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 Oct. 4, 2012. See Release No. 33-9364 (October 15, 
2012) [77 FR 62431].
---------------------------------------------------------------------------

    The revisions to the Filer Manual reflect changes within Volume II 
entitled EDGAR Filer Manual, Volume II: ``EDGAR Filing,'' Version 22 
(January 2013). 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.\2\ Filers may consult the Filer Manual in conjunction with our 
rules governing mandated electronic filing when preparing documents for 
electronic submission.\3\
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    \2\ See Rule 301 of Regulation S-T (17 CFR 232.301).
    \3\ See Release No. 33-9364 (October 15, 2012) [77 FR 62431] in 
which we implemented EDGAR Release 12.2. For additional history of 
Filer Manual rules, please see the cites therein.
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    The EDGAR system will be upgraded to Release 13.0 on January 14, 
2013 and will introduce the following changes: EDGAR will be updated to 
introduce a new submission type, IRANNOTICE, on EDGAR Filing Web site 
for filers to submit notices of disclosure filed in Exchange Act 
quarterly and annual reports under Section 219 of the Iran Threat 
Reduction and Syria Human Rights Act of 2012 \4\ and new section 13(r) 
of the Securities Exchange Act of 1934.\5\ Filers may access this 
submission type from the `EDGARLink Online Form Submission' link on the 
EDGAR Filing Web site. Additionally, filers may construct XML 
submissions for this submission type by following the EDGARLink Online 
Technical Specification document.
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    \4\ Public Law 112-158.
    \5\ 15 U.S.C. 78m(r).
---------------------------------------------------------------------------

    EDGAR will be updated to allow filers to submit, on a voluntary 
basis, submission types 497AD, 40-17G, 40-17G/A, 40-17GCS, 40-17GCS/A, 
40-24B2, and 40-24B2/A in Portable Document Format (PDF) as an official 
filing format. EDGAR will continue to accept ASCII and HTML as official 
filing formats for these submissions.
    The new online version of Form N-SAR deployment has been delayed to 
April 2013. The specific deployment date will be announced on the 
Commission's public Web site's ``Information for EDGAR Filers'' page 
(http://www.sec.gov/info/edgar.shtml). Filers should continue to use 
the EDGAR Filer Manual, Volume III: N-SAR Supplement to file their N-
SAR submissions. When the online version of Form N-SAR is deployed, 
EDGAR Filer Manual, Volume III: N-SAR Supplement will be retired. 
Instructions to file the online version of Form N-SAR addressed in 
Chapter 9 of EDGAR Filer Manual, Volume II: EDGAR Filing should then be 
followed.
    Along with the 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.\6\
---------------------------------------------------------------------------

    \6\ We also are making a technical correction to the 
instructions of Form ID (referenced in 17 CFR 239.63, 249.446, 269.7 
and 274.402) to conform them with a recent change we made to Rules 
10 (17 CFR 232.10) and 101 (17 CFR 232.101) of Regulation S-T and 
the EDGAR Filer Manual relating to the use of PDF files in 
connection with the Form ID authentication process. See Release No. 
33-9353 (Aug. 29, 2012).
---------------------------------------------------------------------------

    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 10:00 a.m. and 3:00 p.m. We 
will post electronic format copies on the Commission's Web site; the 
address for the Filer Manual is http://www.sec.gov/info/edgar.shtml.
    Since the Filer Manual and the corresponding rule changes relate 
solely to agency procedures or practice, publication for notice and 
comment is not required under the Administrative Procedure Act 
(APA).\7\ It follows that the requirements of the Regulatory 
Flexibility Act \8\ do not apply.
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    \7\ 5 U.S.C. 553(b).
    \8\ 5 U.S.C. 601- 612.
---------------------------------------------------------------------------

    The effective date for the updated Filer Manual and the rule 
amendments is January 23, 2013. In accordance with the APA,\9\ 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 13.0 is scheduled to become available on January 14, 2013. 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.
---------------------------------------------------------------------------

    \9\ 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,\10\ Sections 3, 12, 
13, 14, 15, 23, and 35A of the Securities Exchange Act of 1934,\11\ 
Section 319 of the Trust Indenture Act of 1939,\12\ and Sections 8, 30, 
31, and 38 of the Investment Company Act of 1940.\13\
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    \10\ 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
    \11\ 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll.
    \12\ 15 U.S.C. 77sss.
    \13\ 15 U.S.C. 80a-8, 80a-29, 80a-30, and 80a-37.
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List of Subjects

17 CFR Part 232

    Incorporation by reference, Reporting and recordkeeping 
requirements, Securities.

17 CFR Parts 239, 249 and 269

    Reporting and recordkeeping requirements, Securities.

[[Page 4768]]

17 CFR Part 274

    Investment companies, 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), 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 EDGAR Filer Manual, Volume I: ``General Information,'' 
Version 14 (October 2012). The requirements for filing on EDGAR are set 
forth in the updated EDGAR Filer Manual, Volume II: ``EDGAR Filing,'' 
Version 22 (January 2013). 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 10:00 a.m. and 3:00 p.m. 
Electronic copies are available on the Commission's Web site. The 
address for the Filer Manual is http://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: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.

PART 239--FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933

0
3. The authority citation for Part 239 continues to read, in part, as 
follows:

    Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s, 77z-2, 77z-3, 
77sss, 78c, 78l, 78m, 78n, 78o(d), 78u-5, 78w(a), 78ll, 78mm, 80a-
2(a), 80a-3, 80a-8, 80a-9, 80a-10, 80a-13, 80a-24, 80a-26, 80a-29, 
80a-30, 80a-37, and Pub. L. 111-203, Sec.  939A, 124 Stat. 1376, 
(2010) unless otherwise noted.
* * * * *

PART 249--FORMS, SECURITIES EXCHANGE ACT OF 1934

0
4. The authority citation for Part 249 continues to read, in part, as 
follows:

    Authority: 15 U.S.C. 78a et seq., and 7201 et seq.; and 18 
U.S.C. 1350, unless otherwise noted.
* * * * *

PART 269--FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939

0
5. The authority citation for Part 269 continues to read as follows:

    Authority: 15 U.S.C. 77ddd(c), 77eee, 77ggg, 77hhh, 77iii, 
77jjj, 77sss, and 78ll(d), unless otherwise noted.

PART 274--FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940

0
6. The authority citation for Part 274 continues to read, in part, as 
follows:

    Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s, 78c(b), 78l, 78m, 
78n, 78o(d), 80a-8, 80a-24, 80a-26, and 80a-29, unless otherwise 
noted.
* * * * *

0
7. Form ID (referenced in Sec. Sec.  239.63, 249.446, 269.7 and 274.402 
of this chapter) is amended by revising the fourth paragraph of the 
section entitled ``Using and Preparing Form ID'' of the Form ID General 
Instructions, to read as follows.
    [The revised Form ID will not appear in the Code of Federal 
Regulations]
FORM ID
UNIFORM APPLICATION FOR ACCESS CODES TO FILE ON EDGAR
* * * * *
FORM ID
GENERAL INSTRUCTIONS
USING AND PREPARING FORM ID
* * * * *
The Form ID application must include a notarized authentication 
document in PDF format. The application can include other attachments 
such as a cover letter or Power of Attorney. To assemble the Form ID 
submission (i.e., associate any attachments with your Form ID 
application), you must upload them to EDGAR. The PDF document 
attachment must not contain active content (Actions, embedded 
JavaScript, etc.), external references (Destinations, Hyperlinks, 
etc.), and passwords or document security controls.
* * * * *

    Dated: January 14, 2013.

    By the Commission.

Elizabeth M. Murphy,
Secretary.
[FR Doc. 2013-01058 Filed 1-22-13; 8:45 am]
BILLING CODE 8011-01-P