Adoption of Updated EDGAR Filer Manual, 51123-51125 [2015-20720]

Download as PDF Federal Register / Vol. 80, No. 163 / Monday, August 24, 2015 / Rules and Regulations ANM OR D Aurora, OR [New] Aurora, Aurora State Airport, OR (Lat. 45°14′50″ N., long. 122°46′12″ W.) That airspace extending upward from the surface to and including 2,700 feet within a 4.2-mile radius of Aurora State Airport from the 64° bearing from the airport clockwise to the 142° bearing, extending to a 5-mile radius from the 142° bearing clockwise to the 64° bearing from the airport, excluding that airspace below 1,200 feet beyond 3.3 miles from the airport from the 142° bearing clockwise to the 174° bearing, and that airspace below 1,200 feet beyond 3.3 miles from the airport from the 250° bearing clockwise to the 266° bearing from the airport. This Class D airspace area is effective during the specific dates and times established in advance by a Notice to Airmen. The effective date and time will thereafter be continuously published in the Airport/Facility Directory. Paragraph 6002 Class E Airspace Designated as Surface Areas * * * ANM OR E2 * * Aurora, OR [New] Aurora, Aurora State Airport, OR (Lat. 45°14′50″ N., long. 122°46′12″ W.) That airspace extending upward from the surface within a 4.2-mile radius of Aurora State Airport from the 64° bearing from the airport clockwise to the 142° bearing, extending to a 5-mile radius from the 142° bearing clockwise to the 64° bearing from the airport, excluding that airspace below 1,200 feet beyond 3.3 miles from the airport from the 142° bearing clockwise to the 174° bearing, and that airspace below 1,200 feet beyond 3.3 miles from the airport from the 250° bearing clockwise to the 266° bearing from the airport. Paragraph 6005 Class E Airspace Areas Extending Upward From 700 Feet or More Above the Surface of the Earth * * * ANM OR E5 * * Aurora, OR [New] rmajette on DSK2VPTVN1PROD with RULES Aurora, Aurora State Airport, OR (Lat. 45°14′50″ N., long. 122°46′12″ W.) That airspace extending upward from 700 feet above the surface within a 7-mile radius of Aurora State Airport, and that airspace 1.6 miles either side of the 007° bearing from airport extending from the 7-mile radius to 20 miles northeast of the airport, and that airspace 1.2 miles either side of the 306° bearing from airport extending from the 7mile radius to 10.9 miles northwest of the airport. Issued in Seattle, Washington, on August 17, 2015. Christopher Ramirez, Manager, Operations Support Group, Western Service Center. [FR Doc. 2015–20757 Filed 8–21–15; 8:45 am] BILLING CODE 4910–13–P VerDate Sep<11>2014 16:31 Aug 21, 2015 Jkt 235001 SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33–9874; 34–75586; 39–2505; IC–31735] 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 and related rules to reflect updates to the EDGAR system. The updates are being made primarily to add new NRSRO submission form types for Nationally Recognized Statistical Rating Organization filers; add new applicant types for filers to select when completing the process to apply for EDGAR access (New) on the EDGAR Filer Management Web site; make a documentation only change to Chapter 3, ‘‘Index to Forms,’’ of the ‘‘EDGAR Filer Manual, Volume II: EDGAR Filing,’’ to update submission form types SF–1 and SF–3; and make documentation only changes to ‘‘EDGAR Filer Manual, Volume I: General Information’’ for compliance with Section 508 of the U.S. Rehabilitation Act. The EDGAR system is scheduled to be upgraded to support this functionality on August 3, 2015. The Filer Manual is also being revised to address software changes made previously in EDGAR. On June 18, 2015, the Regulation A submission form types DOS, DOS/A, 1–A, 1–A/A, 1–A POS, 1– K, 1–K/A, 1–Z, and 1–Z/A in the EDGAR system were modified to display OMB information. On June 29, 2015, the Regulation A submission form types DOS, DOS/A, 1–A, 1–A/A and 1– A POS in the EDGAR system were updated to allow filers to optionally enter values in the ‘‘Name of Class (if any),’’ ‘‘CUSIP (if any)’’ and ‘‘Name of Trading Center or Quotation Medium (if any)’’ field if a value of zero was provided in the ‘‘Units Outstanding’’ field for the Common Equity, Preferred Equity, and Debt Securities; and Item 6(e) was updated to Item 6(d) on ‘‘Item 6: Unregistered Securities Issued or Sold Within One Year’’ for Regulation A submission form types DOS, DOS/A, 1– A, 1–A/A, and 1–A POS. Additionally, Item 6(d) was updated to optionally allow a response if ‘‘None’’ is selected on ‘‘Item 6: Unregistered Securities Issues or Sold Within One Year.’’ SUMMARY: PO 00000 Frm 00011 Fmt 4700 Sfmt 4700 51123 Effective August 24, 2015. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of August 24, 2015 FOR FURTHER INFORMATION CONTACT: In the Division of Trading and Markets, for questions concerning Form NRSRO, contact Kathy Bateman at (202) 551– 4345, in the Division of Corporation Finance, for questions concerning Regulation A submission form types, contact Heather Mackintosh at (202) 551–8111, and in the Office of Information Technology, contact Tammy Borkowski at (202) 551–7208. 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 Online 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 22 (August 2015), and Volume II entitled EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing,’’ Version 33 (August 2015). 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 The EDGAR system will be upgraded to Release 15.2.2 on August 3, 2015 and will introduce the following changes: Form NRSRO filers must now use the following new submission form types available on EDGARLink Online to electronically submit their filings via EDGAR: DATES: 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 June 15, 2015. See Release No. 33–9849 (June 29, 2015) [80 FR 36913]. 2 See Rule 301 of Regulation S–T (17 CFR 232.301). 3 See Release No. 33–9849 in which we implemented EDGAR Release 15.2. For additional history of Filer Manual rules, please see the cites therein. E:\FR\FM\24AUR1.SGM 24AUR1 51124 Federal Register / Vol. 80, No. 163 / Monday, August 24, 2015 / Rules and Regulations rmajette on DSK2VPTVN1PROD with RULES • NRSRO–UPD—Update of Registration • NRSRO–CE—Annual Certification • NRSRO–CE/A—Amendment to Annual Certification • NRSRO–FR—Annual Financial Reports (Rule 17g–3) • NRSRO–FR/A—Amendment to Annual Financial Reports (Rule 17g–3) • NRSRO–WCLS—Withdrawal from Credit Rating Class • NRSRO–WREG—Withdrawal from Registration These submission form types can be accessed by selecting the ‘EDGARLink Online Form Submission’ link on the EDGAR Filing Web site. Additionally, filers may construct XML submissions for these submission form types by following the ‘‘EDGARLink Online XML Technical Specification’’ document available on the SEC’s Public Web site (https://www.sec.gov/info/edgar.shtml). Filers will now be able to select the following new Applicant Types, when completing the process to apply for EDGAR access (New) on the EDGAR Filer Management Web site: • Nationally Recognized Statistical Rating Organization • Security-Based Swap Data Repository • Security-Based Swap Dealer and Major Security-Based Swap Participant • Security-Based Swap Execution Facility A documentation only change was made to Chapter 3, ‘‘Index to Forms,’’ of the ‘‘EDGAR Filer Manual, Volume II: EDGAR Filing,’’ to update submission form types SF–1 and SF–3 in Table 3– 1, ‘‘Securities Act Submission Types Accepted by EDGAR.’’ Documentation only changes were made to ‘‘EDGAR Filer Manual, Volume I: General Information’’ for compliance with Section 508 of the U.S. Rehabilitation Act. The Filer Manual is also being revised to address software changes made previously in EDGAR. On June 18, 2015, EDGAR Release 15.2.0.1 introduced the following changes: Regulation A submission form types DOS, DOS/A, 1–A, 1–A/A, 1–A POS, 1– K, 1–K/A 1–Z, and 1–Z/A were modified to display updated OMB Information. The Regulation A screens in Chapter 9 of ‘‘EDGAR Filer Manual Volume II: EDGAR Filing’’ were updated with OMB Information. On June 29, 2015, EDGAR Release 15.2.e.3 introduced the following changes: Regulation A submission form types DOS, DOS/A, 1–A, 1–A/A, and 1–A POS were updated to allow filers to optionally enter values in the following VerDate Sep<11>2014 12:27 Aug 21, 2015 Jkt 235001 fields if a value of zero was provided in the ‘‘Units Outstanding’’ field for the three types of securities: Common Equity, Preferred Equity, and Debt Securities: • Name of Class (if any) • CUSIP (if any) • Name of Trading Center or Quotation Medium (if any) Item 6(e) was updated to Item 6(d) on ‘‘Item 6: Unregistered Securities Issued or Sold Within One Year’’ for Regulation A submission form types DOS, DOS/A, 1–A, 1–A/A, and 1–A POS. Additionally, Item 6(d) was updated to optionally allow a response if ‘‘None’’ is selected on ‘‘Item 6: Unregistered Securities Issued or Sold Within One Year.’’ 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. The updated EDGAR Filer Manual will be available for Web site viewing and printing; the address for the Filer Manual is https://www.sec.gov/info/ edgar.shtml. You may also 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., Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m. 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).4 It follows that the requirements of the Regulatory Flexibility Act 5 do not apply. The effective date for the updated Filer Manual and the rule amendments is August 24, 2015. In accordance with the APA,6 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 15.2.2 is scheduled to become available on August 3, 2015. 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 1933,7 Sections 3, 12, 13, 14, 15, 23, and 35A of the Securities Exchange Act of 1934,8 Section 319 of the Trust Indenture Act of 1939,9 and Sections 8, 30, 31, and 38 of the Investment Company Act of 1940.10 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. 77c, 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, unless otherwise noted. * * * * * 2. Section 232.301 is revised to read as follows: ■ § 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 22 (August 2015). The requirements for filing on EDGAR are set forth in the updated EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing,’’ Version 33 (August 2015). Additional provisions applicable to Form N–SAR filers are set forth in the EDGAR Filer Manual, Volume III: ‘‘N–SAR Supplement,’’ Version 4 (October 2014). 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 7 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a). U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll. 9 15 U.S.C. 77sss. 10 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37. 45 U.S.C. 553(b). 5 5 U.S.C. 601—612. 6 5 U.S.C. 553(d)(3). PO 00000 Frm 00012 Fmt 4700 8 15 Sfmt 4700 E:\FR\FM\24AUR1.SGM 24AUR1 Federal Register / Vol. 80, No. 163 / Monday, August 24, 2015 / Rules and Regulations order for documents to be timely received and accepted. The EDGAR Filer Manual is available for Web site viewing and printing; the address for the Filer Manual is https://www.sec.gov/ info/edgar.shtml. 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., Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m. 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 3, 2015. Brent J. Fields, Secretary. [FR Doc. 2015–20720 Filed 8–21–15; 8:45 am] BILLING CODE 8011–01–P on August 7, 2015, until this rule is effective without actual notice. ADDRESSES: Documents indicated in this preamble as being available in the docket are part of docket USCG–2015– 0731 and are available online by going to https://www.regulations.gov, inserting USCG–2015–0731 in the ‘‘Keyword’’ box, 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 temporary rule, call or email Mr. Edward G. LeBlanc at Sector Southeastern New England; telephone (401) 435–2351, email Edward.G.LeBlanc@uscg.mil. If you have questions on viewing the docket, call Cheryl Collins, Program Manager, Docket Operations, telephone 202–366–9826. SUPPLEMENTARY INFORMATION: Table of Acronyms DEPARTMENT OF HOMELAND SECURITY APA Administrative Procedure Act CFR Code of Federal Register DHS Department of Homeland Security FR Federal Register NPRM Notice of Proposed Rulemaking U.S.C. United States Code USCG United States Coast Guard USSS United States Secret Service Coast Guard 33 CFR Part 165 [USCG–2015–0731] RIN 1625–AA87 Security Zone; Martha’s Vineyard, Massachusetts Coast Guard, DHS. Temporary final rule. AGENCY: ACTION: The Coast Guard is establishing two 1000-yard temporary security zones in support of U.S. Secret Service (USSS) security operations in the navigable waters of the U.S. in portions of the coastal areas of Martha’s Vineyard, Massachusetts. These security zones are needed to support USSS security operations and will be effective as directed by the USSS within 1000 yards of the navigable waters of the U.S. in portions of the coastal areas of Martha’s Vineyard, Massachusetts. Vessel and people are prohibited from entering this security zone unless specifically authorized by the Captain of the Port (COTP) or the COTP’s designated on-scene representative. DATES: This rule is effective without actual notice from 6:30 a.m. on August 24, 2015 until 5 p.m. on August 24, 2015. For the purposes of enforcement, actual notice will be used from 8 a.m. rmajette on DSK2VPTVN1PROD with RULES SUMMARY: VerDate Sep<11>2014 12:27 Aug 21, 2015 Jkt 235001 A. Regulatory Information The Coast Guard is issuing this temporary final rule without prior notice and opportunity to comment pursuant to authority under section 4(a) of the Administrative Procedure Act (APA) (5 U.S.C. 553(b)). This provision authorizes an agency to issue a rule without prior notice and opportunity to comment when the agency for good cause finds that those procedures are ‘‘impracticable, unnecessary, or contrary to the public interest.’’ Under 5 U.S.C. 553(b)(B), the Coast Guard finds that good cause exists for not publishing a notice of proposed rulemaking (NPRM) with respect to this rule because of the sensitive security issues related to USSS security operations. Providing a public notice and comment period is contrary to national security concerns and the public interest. Under 5 U.S.C. 553(d)(3), the Coast Guard finds that good cause exists for making this rule effective less than 30 days after publication in the Federal Register. Any delay encountered in this temporary rule’s effective date would be contrary to the public interest given the immediate need to support USSS PO 00000 Frm 00013 Fmt 4700 Sfmt 4700 51125 security operations in portions of the coastal areas of Martha’s Vineyard, Massachusetts, from August 7, 2015 through August 24, 2015. B. Basis and Purpose The legal basis for this rule is 33 U.S.C. 1231; 50 U.S.C. 191; 33 CFR 1.05–1, 6.04–1, 6.04–6, 160.5; Department of Homeland Security Delegation No. 0170.1, which collectively authorize the Coast Guard to establish security zones. The USSS will conduct security operations on property that borders U.S. navigable waters within the Captain of the Port, Southeastern New England zone. The USSS has requested that the Coast Guard provide 1000-yard waterside security zones from portions of the coastal areas of Martha’s Vineyard, Massachusetts. These security zones are necessary to provide security by preventing vessels and persons from approaching the area(s) of USSS security operations without prior authorization from the COTP. C. Discussion of Rule For the reasons discussed above, the Captain of the Port, Sector Southeastern New England, is establishing a temporary security zone. The temporary security zone will be enforced from 8:00 a.m. on Friday, August 7, 2015 through 5:00 p.m. on Monday, August 24, 2015. This action is intended to temporarily prohibit vessels or people from approaching within 1000 yards of USSS security operations in portions of the coastal areas of Martha’s Vineyard, Massachusetts. The Captain of the Port, Southeastern New England, anticipates negligible negative impact on vessel traffic from these temporary security zones, as they will be in effect for only eighteen days, and will only be enforced during USSS security operations in portions of the coastal areas of Martha’s Vineyard, Massachusetts. It has been determined that the necessary security enhancements provided by this rule greatly outweigh any potential negative impacts. D. Regulatory Analyses We developed this rule after considering numerous statutes and executive orders related to rulemaking. Below we summarize our analyses based on these statutes and executive orders. 1. Regulatory Planning and Review This rule is not a ‘‘significant regulatory action’’ under section 3(f) of Executive Order 12866, Regulatory Planning and Review, and does not E:\FR\FM\24AUR1.SGM 24AUR1

Agencies

[Federal Register Volume 80, Number 163 (Monday, August 24, 2015)]
[Rules and Regulations]
[Pages 51123-51125]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-20720]


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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 232

[Release Nos. 33-9874; 34-75586; 39-2505; IC-31735]


Adoption of Updated EDGAR Filer Manual

AGENCY: Securities and Exchange Commission.

ACTION: Final rule.

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SUMMARY: The Securities and Exchange Commission (the Commission) is 
adopting revisions to the Electronic Data Gathering, Analysis, and 
Retrieval System (EDGAR) Filer Manual and related rules to reflect 
updates to the EDGAR system. The updates are being made primarily to 
add new NRSRO submission form types for Nationally Recognized 
Statistical Rating Organization filers; add new applicant types for 
filers to select when completing the process to apply for EDGAR access 
(New) on the EDGAR Filer Management Web site; make a documentation only 
change to Chapter 3, ``Index to Forms,'' of the ``EDGAR Filer Manual, 
Volume II: EDGAR Filing,'' to update submission form types SF-1 and SF-
3; and make documentation only changes to ``EDGAR Filer Manual, Volume 
I: General Information'' for compliance with Section 508 of the U.S. 
Rehabilitation Act. The EDGAR system is scheduled to be upgraded to 
support this functionality on August 3, 2015. The Filer Manual is also 
being revised to address software changes made previously in EDGAR. On 
June 18, 2015, the Regulation A submission form types DOS, DOS/A, 1-A, 
1-A/A, 1-A POS, 1-K, 1-K/A, 1-Z, and 1-Z/A in the EDGAR system were 
modified to display OMB information. On June 29, 2015, the Regulation A 
submission form types DOS, DOS/A, 1-A, 1-A/A and 1-A POS in the EDGAR 
system were updated to allow filers to optionally enter values in the 
``Name of Class (if any),'' ``CUSIP (if any)'' and ``Name of Trading 
Center or Quotation Medium (if any)'' field if a value of zero was 
provided in the ``Units Outstanding'' field for the Common Equity, 
Preferred Equity, and Debt Securities; and Item 6(e) was updated to 
Item 6(d) on ``Item 6: Unregistered Securities Issued or Sold Within 
One Year'' for Regulation A submission form types DOS, DOS/A, 1-A, 1-A/
A, and 1-A POS. Additionally, Item 6(d) was updated to optionally allow 
a response if ``None'' is selected on ``Item 6: Unregistered Securities 
Issues or Sold Within One Year.''

DATES: Effective August 24, 2015. The incorporation by reference of the 
EDGAR Filer Manual is approved by the Director of the Federal Register 
as of August 24, 2015

FOR FURTHER INFORMATION CONTACT: In the Division of Trading and 
Markets, for questions concerning Form NRSRO, contact Kathy Bateman at 
(202) 551-4345, in the Division of Corporation Finance, for questions 
concerning Regulation A submission form types, contact Heather 
Mackintosh at (202) 551-8111, and in the Office of Information 
Technology, contact Tammy Borkowski at (202) 551-7208.

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 Online and the Online Forms/XML 
Web site.
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    \1\ We originally adopted the Filer Manual on April 1, 1993, 
with an effective date of April 26, 1993. Release No. 33-6986 (April 
1, 1993) [58 FR 18638]. We implemented the most recent update to the 
Filer Manual on June 15, 2015. See Release No. 33-9849 (June 29, 
2015) [80 FR 36913].
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    The revisions to the Filer Manual reflect changes within Volume I 
entitled EDGAR Filer Manual, Volume I: ``General Information,'' Version 
22 (August 2015), and Volume II entitled EDGAR Filer Manual, Volume II: 
``EDGAR Filing,'' Version 33 (August 2015). 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. 33-9849 in which we implemented EDGAR 
Release 15.2. For additional history of Filer Manual rules, please 
see the cites therein.
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    The EDGAR system will be upgraded to Release 15.2.2 on August 3, 
2015 and will introduce the following changes:
    Form NRSRO filers must now use the following new submission form 
types available on EDGARLink Online to electronically submit their 
filings via EDGAR:


[[Page 51124]]


 NRSRO-UPD--Update of Registration
 NRSRO-CE--Annual Certification
 NRSRO-CE/A--Amendment to Annual Certification
 NRSRO-FR--Annual Financial Reports (Rule 17g-3)
 NRSRO-FR/A--Amendment to Annual Financial Reports (Rule 17g-3)
 NRSRO-WCLS--Withdrawal from Credit Rating Class
 NRSRO-WREG--Withdrawal from Registration
    These submission form types can be accessed by selecting the 
`EDGARLink Online Form Submission' link on the EDGAR Filing Web site. 
Additionally, filers may construct XML submissions for these submission 
form types by following the ``EDGARLink Online XML Technical 
Specification'' document available on the SEC's Public Web site (https://www.sec.gov/info/edgar.shtml).
    Filers will now be able to select the following new Applicant 
Types, when completing the process to apply for EDGAR access (New) on 
the EDGAR Filer Management Web site:

 Nationally Recognized Statistical Rating Organization
 Security-Based Swap Data Repository
 Security-Based Swap Dealer and Major Security-Based Swap 
Participant
 Security-Based Swap Execution Facility

    A documentation only change was made to Chapter 3, ``Index to 
Forms,'' of the ``EDGAR Filer Manual, Volume II: EDGAR Filing,'' to 
update submission form types SF-1 and SF-3 in Table 3-1, ``Securities 
Act Submission Types Accepted by EDGAR.''
    Documentation only changes were made to ``EDGAR Filer Manual, 
Volume I: General Information'' for compliance with Section 508 of the 
U.S. Rehabilitation Act.
    The Filer Manual is also being revised to address software changes 
made previously in EDGAR. On June 18, 2015, EDGAR Release 15.2.0.1 
introduced the following changes:
    Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 
1-K, 1-K/A 1-Z, and 1-Z/A were modified to display updated OMB 
Information. The Regulation A screens in Chapter 9 of ``EDGAR Filer 
Manual Volume II: EDGAR Filing'' were updated with OMB Information.
    On June 29, 2015, EDGAR Release 15.2.e.3 introduced the following 
changes:
    Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A, and 1-A 
POS were updated to allow filers to optionally enter values in the 
following fields if a value of zero was provided in the ``Units 
Outstanding'' field for the three types of securities: Common Equity, 
Preferred Equity, and Debt Securities:

 Name of Class (if any)
 CUSIP (if any)
 Name of Trading Center or Quotation Medium (if any)

    Item 6(e) was updated to Item 6(d) on ``Item 6: Unregistered 
Securities Issued or Sold Within One Year'' for Regulation A submission 
form types DOS, DOS/A, 1-A, 1-A/A, and 1-A POS. Additionally, Item 6(d) 
was updated to optionally allow a response if ``None'' is selected on 
``Item 6: Unregistered Securities Issued or Sold Within One Year.''
    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.
    The updated EDGAR Filer Manual will be available for Web site 
viewing and printing; the address for the Filer Manual is https://www.sec.gov/info/edgar.shtml. You may also 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., Washington, 
DC 20549, on official business days between the hours of 10:00 a.m. and 
3:00 p.m.
    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).\4\ It follows that the requirements of the Regulatory 
Flexibility Act \5\ do not apply.
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    \4\ 5 U.S.C. 553(b).
    \5\ 5 U.S.C. 601--612.
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    The effective date for the updated Filer Manual and the rule 
amendments is August 24, 2015. In accordance with the APA,\6\ 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 15.2.2 is scheduled to become available on August 3, 2015. 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.
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    \6\ 5 U.S.C. 553(d)(3).
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Statutory Basis

    We are adopting the amendments to Regulation S-T under Sections 6, 
7, 8, 10, and 19(a) of the Securities Act of 1933,\7\ Sections 3, 12, 
13, 14, 15, 23, and 35A of the Securities Exchange Act of 1934,\8\ 
Section 319 of the Trust Indenture Act of 1939,\9\ and Sections 8, 30, 
31, and 38 of the Investment Company Act of 1940.\10\
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    \7\ 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
    \8\ 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll.
    \9\ 15 U.S.C. 77sss.
    \10\ 15 U.S.C. 80a-8, 80a-29, 80a-30, and 80a-37.
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List of Subjects in 17 CFR Part 232

    Incorporation by reference, Reporting and recordkeeping 
requirements, Securities.

Text of the Amendment

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

PART 232--REGULATION S-T--GENERAL RULES AND REGULATIONS FOR 
ELECTRONIC FILINGS

0
1. The authority citation for Part 232 continues to read in part as 
follows:

    Authority:  15 U.S.C. 77c, 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, 
unless otherwise noted.
* * * * *
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 22 (August 2015). The requirements for filing on 
EDGAR are set forth in the updated EDGAR Filer Manual, Volume II: 
``EDGAR Filing,'' Version 33 (August 2015). Additional provisions 
applicable to Form N-SAR filers are set forth in the EDGAR Filer 
Manual, Volume III: ``N-SAR Supplement,'' Version 4 (October 2014). 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

[[Page 51125]]

order for documents to be timely received and accepted. The EDGAR Filer 
Manual is available for Web site viewing and printing; the address for 
the Filer Manual is https://www.sec.gov/info/edgar.shtml. 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., Washington, DC 20549, on official business days between the 
hours of 10:00 a.m. and 3:00 p.m. 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 3, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015-20720 Filed 8-21-15; 8:45 am]
 BILLING CODE 8011-01-P
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