Adoption of Updated EDGAR Filer Manual, 59578-59580 [2015-24904]

Download as PDF 59578 Federal Register / Vol. 80, No. 191 / Friday, October 2, 2015 / Rules and Regulations PART 40—PROVISIONS COMMON TO REGISTERED ENTITIES 6. The authority citation for part 40 continues to read as follows: ■ Authority: 7 U.S.C. 1a, 2, 5, 6, 7, 7a and 12, as amended by Titles VII and VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111–203, 124 Stat. 1376 (2010). § 40.8 [Amended] 7. Amend § 40.8 by removing and reserving paragraph (b). ■ 8. Revise Appendix D to part 40 to read as follows: ■ 9. The authority citation for part 140 continues to read as follows: Authority: 7 U.S.C. 2(a)(12), 12a, 13(c), 13(d), 13(e), and 16(b). asabaliauskas on DSK5VPTVN1PROD with RULES Jkt 238001 10. Revise paragraph (d)(2)(i) of § 140.99 to read as follows: ■ (a) A properly completed submission cover sheet shall accompany all rule and product submissions submitted electronically by a registered entity in a format and manner specified by the Secretary of the Commission to the Secretary of the Commission. A properly completed submission cover sheet shall include all of the following: 1. Identifier Code (optional)—A registered entity Identifier Code at the top of the cover sheet, if applicable. Such codes are commonly generated by registered entities to provide an identifier that is unique to each filing (e.g., NYMEX Submission 03–116). 2. Date—The date of the filing. 3. Organization—The name of the organization filing the submission (e.g., CBOT). 4. Filing as a—Check in the appropriate box indicating that the rule or product is being submitted by a designated contract market (DCM), derivatives clearing organization (DCO), swap execution facility (SEF), or swap data repository (SDR). 5. Type of Filing—An indication as to whether the filing is a new rule, rule amendment or new product. The registered entity should check the appropriate box to indicate the applicable category under that heading. 6. Rule Numbers—For rule filings, the rule number(s) being adopted or modified in the case of rule amendment filings. 7. Description—For rule or rule amendment filings, a description of the new rule or rule amendment, including a discussion of its expected impact on the registered entity, market participants, and the overall market. The narrative should describe the substance of the submission with enough specificity to characterize all material aspects of the filing. (b) Other Requirements—A submission shall comply with all applicable filing requirements for proposed rules, rule amendments, or products. The filing of the submission cover sheet does not obviate the registered entity’s responsibility to comply with applicable filing requirements (e.g., rules submitted for Commission approval under § 40.5 must be accompanied by an explanation of the purpose and effect of the proposed rule along with a description of any substantive opposing views). (c) Checking the box marked ‘‘confidential treatment requested’’ on the Submission 20:30 Oct 01, 2015 PART 140—ORGANIZATION, FUNCTIONS, AND PROCEDURES OF THE COMMISSION ■ Appendix D to Part 40—Submission Cover Sheet and Instructions VerDate Sep<11>2014 Cover Sheet does not obviate the submitter’s responsibility to comply with all applicable requirements for requesting confidential treatment in § 40.8 and, where appropriate, § 145.9 of this chapter, and will not substitute for notice or full compliance with such requirements. § 140.99 Requests for exemptive, noaction and interpretative letters. * * * * * (d) * * * (2)(i) A request for a Letter relating to the provisions of the Act or the Commission’s rules, regulations or orders governing designated contract markets, registered swap execution facilities, registered swap data repositories, registered foreign boards of trade, the nature of particular transactions and whether they are exempt or excluded from being required to be traded on one of the foregoing entities, made available for trading determinations, position limits, hedging exemptions, position aggregation treatment or the reporting of market positions shall be filed with the Director, Division of Market Oversight, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581. * * * * * Issued in Washington, DC, on September 28, 2015, by the Commission. Christopher J. Kirkpatrick, Secretary of the Commission. NOTE: The following appendix will not appear in the Code of Federal Regulations. Appendix To Repeal of the Exempt Commercial Market and Exempt Board of Trade Exemptions—Commission Voting Summary On this matter, Chairman Massad and Commissioners Bowen and Giancarlo voted in the affirmative. No Commissioner voted in the negative. [FR Doc. 2015–25029 Filed 10–1–15; 8:45 am] BILLING CODE 6351–01–P PO 00000 Frm 00030 Fmt 4700 Sfmt 4700 SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33–9911; 34–75918; 39–2506; IC–31823] 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 to add two new Security-based Swap Data Repository (SDR) submission form types; make available new exhibit EX–36 (Depositor Certification for shelf offerings of asset-backed securities) on EDGARLink Online for submission form types SF–3, SF–3/A, 8–K, and 8–K/A; accept Exhibit K and Exhibit L in eXtensible Business Reporting Language (XBRL) format for submission form types SDR, SDR/A, SDR–A, and SDR–W; consider valid XBRL file attachments if they contain multiple identically tagged XBRL facts; make documentation updates to Chapter 2 of the ‘‘EDGAR Filer Manual, Volume I: General Information’’ and Chapters 2, 3, and 7 of the ‘‘EDGAR Filer Manual, Volume II: EDGAR Filing’’ relating to Form NRSRO; and make formatting changes to ‘‘EDGAR Filer Manual, Volume I: General Information’’, ‘‘EDGAR Filer Manual, Volume II: EDGAR Filing’’, and ‘‘EDGAR Filer Manual, Volume III: N–SAR Supplement’’ 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 July 10, 2015, Regulation A submission form types DOS, DOS/A, 1–A, 1–A/A, and 1–A POS were updated to prevent a filer from entering a response in Item 6(d) when the ‘‘None’’ option has been selected on Item 6. The EDGAR system is scheduled to be upgraded to support this functionality on September 14, 2015. SUMMARY: Effective October 2, 2015. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of October 2, 2015. FOR FURTHER INFORMATION CONTACT: In the Division of Trading and Markets, for DATES: E:\FR\FM\02OCR1.SGM 02OCR1 Federal Register / Vol. 80, No. 191 / Friday, October 2, 2015 / Rules and Regulations asabaliauskas on DSK5VPTVN1PROD with RULES questions concerning SDR and NRSRO form types, contact Kathy Bateman at (202) 551–4345; in the Division of Corporation Finance, for questions concerning SF–3, 8–K, and Regulation A form types, contact Heather Mackintosh at (202) 551–8111; in the Division of Economic and Risk Analysis, for questions concerning XBRL submissions, contract Walter Hamscher at (202) 551–5397; and in the Office of Information Technology, for questions concerning Section 508 of the U.S. Rehabilitation Act, contact Tammy Borkowski at (202) 551–7208. 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 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 23 (September 2015), Volume II entitled EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing,’’ Version 34 (September 2015), and Volume III entitled EDGAR Filer Manual, Volume III: ‘‘N–SAR Supplement,’’ Version 5 (September 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 15.3 on September 14, 2015 and will introduce the following changes: As part of the final rules adopted on January 14, 2015 for regulating securitybased swap data repositories (SDR), the 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 August 3, 2015. See Release No. 33– 9874 (August 24, 2015) [80 FR 51123]. 2 See Rule 301 of Regulation S–T (17 CFR 232.301). 3 See Release No. 33–9874 in which we implemented EDGAR Release 15.2.2. For additional history of Filer Manual rules, please see the cites therein. VerDate Sep<11>2014 20:30 Oct 01, 2015 Jkt 238001 following submission form types will be added to EDGAR: 4 • SDR–CCO—Annual Compliance Report and Annual Financial Report • SDR–CCO/A—Amendment to Annual Compliance Report and Annual Financial Report These submission form types can be accessed by selecting the ‘EDGARLink Online Form Submission’ link on the EDGAR Filing Web site. Additionally, applicants may construct XML submissions for SDR–CCO and SDR– CCO/A by following the ‘‘EDGARLink Online XML Technical Specification’’ document available on the SEC’s Public Web site (https://www.sec.gov/info/ edgar.shtml). Submission form types SDR–CCO and SDR–CCO/A will include the ‘‘Request Confidentiality’’ check box to allow applicants to request confidential treatment for each attached document. After an SDR–CCO or SDR–CCO/A filing is submitted, SEC staff will review the submission and make a determination of whether the information for which confidential treatment is requested should be made public. EDGAR will only disseminate the attached documents of the submission that the SEC staff has determined to be public. In connection with the Commission’s revised rules and forms for disclosure by asset-backed securities issuers, new exhibit EX–36 (Depositor Certification for shelf offerings of asset-backed securities) will be available on EDGARLink Online for submission form types SF–3, SF–3/A, 8–K, and 8–K/A.5 This change will allow registrants to file a certification required for shelf offerings of asset-backed securities as an EX–36. Filers will have the option to attach exhibit EX–36 in official HTML or ASCII format (and unofficially in PDF format) on submission form types SF–3 and SF–3/A and on submission form types 8–K and 8–K/A, when the SIC code associated with the Primary Filer CIK is 6189 (Asset-Backed Securities). EDGAR will be updated to include the following XBRL document types for submission form types SDR, SDR/A, SDR–A, and SDR–W: • EX–99.K SDR.INS, EX–99.K SDR.SCH, EX–99.K SDR.PRE, EX– 99.K SDR.LAB, EX–99.K SDR.CAL, and EX–99.K SDR.DEF • EX–99.L SDR.INS, EX–99.L SDR.SCH, EX–99.L SDR.PRE, EX–99.L SDR.LAB, 4 See Security-Based Swap Data Repository Registration, Duties, and Core Principles, Exchange Act Release No. 34–74246 (Feb. 11, 2015), 80 FR 14437 (March 9, 2015). 5 See Asset-Backed Securities Disclosure and Registration, Securities Act Release No. 33–9638 (September 4, 2014). PO 00000 Frm 00031 Fmt 4700 Sfmt 4700 59579 EX–99.L SDR.CAL, and EX–99.L SDR.DEF Filers will now be able to submit SDR Exhibit K and Exhibit L in XBRL format for submission form types SDR, SDR/A, SDR–A, and SDR–W. Filers can continue to provide SDR Exhibit K and Exhibit L in ASCII or HTML formats for submission form types SDR, SDR/A, SDR–A, and SDR–W. XBRL file attachments will be considered valid if they contain multiple identically tagged XBRL facts. Documentation updates were made to Chapter 2 of the ‘‘EDGAR Filer Manual, Volume I: General Information’’ and Chapters 2, 3, and 7 of the ‘‘EDGAR Filer Manual, Volume II: EDGAR Filing’’ relating to Form NRSRO. Formatting changes were made to ‘‘EDGAR Filer Manual, Volume I: General Information’’, ‘‘EDGAR Filer Manual, Volume II: EDGAR Filing’’, and ‘‘EDGAR Filer Manual, Volume III: N–SAR Supplement’’ 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 July 10, 2015, EDGAR Release 15.2.e.4 introduced the following change: • Regulation A submission form types DOS, DOS/A, 1–A, 1–A/A, and 1–A POS were updated to prevent a filer from entering a response in Item 6(d) when the ‘‘None’’ option has been selected on Item 6. 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).6 It follows that 65 U.S.C. 553(b). E:\FR\FM\02OCR1.SGM 02OCR1 59580 Federal Register / Vol. 80, No. 191 / Friday, October 2, 2015 / Rules and Regulations the requirements of the Regulatory Flexibility Act 7 do not apply. The effective date for the updated Filer Manual and the rule amendments is October 2, 2015. 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 15.3 is scheduled to become available on September 14, 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 1933,9 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: 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: asabaliauskas on DSK5VPTVN1PROD with RULES Filers must prepare electronic filings in the manner prescribed by the EDGAR Filer Manual, promulgated by the Commission, which sets out the technical formatting requirements for electronic submissions. The U.S.C. 601–612. 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. 85 VerDate Sep<11>2014 20:30 Oct 01, 2015 Jkt 238001 [FR Doc. 2015–24904 Filed 10–1–15; 8:45 am] BILLING CODE 8011–01–P Bureau of Alcohol, Tobacco, Firearms, and Explosives EDGAR Filer Manual. 75 By the Commission. Dated: September 15, 2015. Brent J. Fields, Secretary. DEPARTMENT OF JUSTICE ■ § 232.301 requirements for becoming an EDGAR Filer and updating company data are set forth in the updated EDGAR Filer Manual, Volume I: ‘‘General Information,’’ Version 23 (September 2015). The requirements for filing on EDGAR are set forth in the updated EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing,’’ Version 34 (September 2015). Additional provisions applicable to Form N–SAR filers are set forth in the EDGAR Filer Manual, Volume III: ‘‘N– SAR Supplement,’’ Version 5 (September 2015). 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. 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. 27 CFR Part 555 [Docket No. ATF 2013R–9F; AG Order No. 3566–2015] Technical Amendments to Regulations; Correction Bureau of Alcohol, Tobacco, Firearms, and Explosives, Department of Justice. ACTION: Final rule; Correcting amendments. AGENCY: PO 00000 Frm 00032 Fmt 4700 Sfmt 4700 The Department of Justice published in the Federal Register of August 11, 2014, a final rule making technical changes to correcting a technical amendment to a definition in the Bureau of Alcohol, Tobacco, Firearms, and Explosives regulations related to commerce in explosives. That document inadvertently included an incorrect definition for ‘‘Customs officer’’ in 27 CFR part 555. This final rule corrects the 2014 amendments by revising the definition. SUMMARY: DATES: This rule is effective October 2, 2015. FOR FURTHER INFORMATION CONTACT: Shermaine Kenner, Office of Regulatory Affairs, Enforcement Programs and Services, Bureau of Alcohol, Tobacco, Firearms, and Explosives, U.S. Department of Justice, 99 New York Avenue NE., Washington, DC 20226; telephone: (202) 648–7070 (this is not a toll-free number). SUPPLEMENTARY INFORMATION: Background The Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF) administers regulations published in title 27, chapter II, Code of Federal Regulations (CFR). On August 11, 2014, the Department of Justice (DOJ) published in the Federal Register a final rule that made technical amendments and corrected typographical errors in ATF regulations in the CFR (79 FR 46690). Many of the technical changes were made to reflect changes in nomenclature resulting from the transfer of ATF to DOJ from the Department of the Treasury, pursuant to the Homeland Security Act of 2002. The changes were designed to provide clarity and enhance uniformity throughout these regulations. The 2014 technical amendments inadvertently contained an incorrect definition for ‘‘Customs officer’’ in 27 CFR part 555. This final rule corrects the changes in the Code of Federal Regulations made by the 2014 technical amendments by revising the definition. Section 555.11, defining ‘‘Customs officer,’’ is being amended so that it no longer contains a reference to ‘‘Customs Service.’’ The new definition reads as follows: ‘‘Any officer of U.S. Customs and Border Protection, any commissioned, warrant, or petty officer of the Coast Guard, or any agent or other person authorized by law to perform the duties of a customs officer.’’ E:\FR\FM\02OCR1.SGM 02OCR1

Agencies

[Federal Register Volume 80, Number 191 (Friday, October 2, 2015)]
[Rules and Regulations]
[Pages 59578-59580]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-24904]


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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 232

[Release Nos. 33-9911; 34-75918; 39-2506; IC-31823]


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 to add two new 
Security-based Swap Data Repository (SDR) submission form types; make 
available new exhibit EX-36 (Depositor Certification for shelf 
offerings of asset-backed securities) on EDGARLink Online for 
submission form types SF-3, SF-3/A, 8-K, and 8-K/A; accept Exhibit K 
and Exhibit L in eXtensible Business Reporting Language (XBRL) format 
for submission form types SDR, SDR/A, SDR-A, and SDR-W; consider valid 
XBRL file attachments if they contain multiple identically tagged XBRL 
facts; make documentation updates to Chapter 2 of the ``EDGAR Filer 
Manual, Volume I: General Information'' and Chapters 2, 3, and 7 of the 
``EDGAR Filer Manual, Volume II: EDGAR Filing'' relating to Form NRSRO; 
and make formatting changes to ``EDGAR Filer Manual, Volume I: General 
Information'', ``EDGAR Filer Manual, Volume II: EDGAR Filing'', and 
``EDGAR Filer Manual, Volume III: N-SAR Supplement'' 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 July 10, 2015, Regulation A submission form types DOS, DOS/A, 
1-A, 1-A/A, and 1-A POS were updated to prevent a filer from entering a 
response in Item 6(d) when the ``None'' option has been selected on 
Item 6. The EDGAR system is scheduled to be upgraded to support this 
functionality on September 14, 2015.

DATES: Effective October 2, 2015. The incorporation by reference of the 
EDGAR Filer Manual is approved by the Director of the Federal Register 
as of October 2, 2015.

FOR FURTHER INFORMATION CONTACT: In the Division of Trading and 
Markets, for

[[Page 59579]]

questions concerning SDR and NRSRO form types, contact Kathy Bateman at 
(202) 551-4345; in the Division of Corporation Finance, for questions 
concerning SF-3, 8-K, and Regulation A form types, contact Heather 
Mackintosh at (202) 551-8111; in the Division of Economic and Risk 
Analysis, for questions concerning XBRL submissions, contract Walter 
Hamscher at (202) 551-5397; and in the Office of Information 
Technology, for questions concerning Section 508 of the U.S. 
Rehabilitation Act, contact Tammy Borkowski at (202) 551-7208.

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 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 August 3, 2015. See Release No. 33-9874 (August 24, 
2015) [80 FR 51123].
---------------------------------------------------------------------------

    The revisions to the Filer Manual reflect changes within Volume I 
entitled EDGAR Filer Manual, Volume I: ``General Information,'' Version 
23 (September 2015), Volume II entitled EDGAR Filer Manual, Volume II: 
``EDGAR Filing,'' Version 34 (September 2015), and Volume III entitled 
EDGAR Filer Manual, Volume III: ``N-SAR Supplement,'' Version 5 
(September 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. 33-9874 in which we implemented EDGAR 
Release 15.2.2. For additional history of Filer Manual rules, please 
see the cites therein.
---------------------------------------------------------------------------

    The EDGAR system will be upgraded to Release 15.3 on September 14, 
2015 and will introduce the following changes:
    As part of the final rules adopted on January 14, 2015 for 
regulating security-based swap data repositories (SDR), the following 
submission form types will be added to EDGAR: \4\
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    \4\ See Security-Based Swap Data Repository Registration, 
Duties, and Core Principles, Exchange Act Release No. 34-74246 (Feb. 
11, 2015), 80 FR 14437 (March 9, 2015).

 SDR-CCO--Annual Compliance Report and Annual Financial Report
 SDR-CCO/A--Amendment to Annual Compliance Report and Annual 
Financial Report

    These submission form types can be accessed by selecting the 
`EDGARLink Online Form Submission' link on the EDGAR Filing Web site. 
Additionally, applicants may construct XML submissions for SDR-CCO and 
SDR-CCO/A by following the ``EDGARLink Online XML Technical 
Specification'' document available on the SEC's Public Web site (https://www.sec.gov/info/edgar.shtml).
    Submission form types SDR-CCO and SDR-CCO/A will include the 
``Request Confidentiality'' check box to allow applicants to request 
confidential treatment for each attached document. After an SDR-CCO or 
SDR-CCO/A filing is submitted, SEC staff will review the submission and 
make a determination of whether the information for which confidential 
treatment is requested should be made public. EDGAR will only 
disseminate the attached documents of the submission that the SEC staff 
has determined to be public.
    In connection with the Commission's revised rules and forms for 
disclosure by asset-backed securities issuers, new exhibit EX-36 
(Depositor Certification for shelf offerings of asset-backed 
securities) will be available on EDGARLink Online for submission form 
types SF-3, SF-3/A, 8-K, and 8-K/A.\5\ This change will allow 
registrants to file a certification required for shelf offerings of 
asset-backed securities as an EX-36. Filers will have the option to 
attach exhibit EX-36 in official HTML or ASCII format (and unofficially 
in PDF format) on submission form types SF-3 and SF-3/A and on 
submission form types 8-K and 8-K/A, when the SIC code associated with 
the Primary Filer CIK is 6189 (Asset-Backed Securities).
---------------------------------------------------------------------------

    \5\ See Asset-Backed Securities Disclosure and Registration, 
Securities Act Release No. 33-9638 (September 4, 2014).
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    EDGAR will be updated to include the following XBRL document types 
for submission form types SDR, SDR/A, SDR-A, and SDR-W:

 EX-99.K SDR.INS, EX-99.K SDR.SCH, EX-99.K SDR.PRE, EX-99.K 
SDR.LAB, EX-99.K SDR.CAL, and EX-99.K SDR.DEF
 EX-99.L SDR.INS, EX-99.L SDR.SCH, EX-99.L SDR.PRE, EX-99.L 
SDR.LAB, EX-99.L SDR.CAL, and EX-99.L SDR.DEF

    Filers will now be able to submit SDR Exhibit K and Exhibit L in 
XBRL format for submission form types SDR, SDR/A, SDR-A, and SDR-W. 
Filers can continue to provide SDR Exhibit K and Exhibit L in ASCII or 
HTML formats for submission form types SDR, SDR/A, SDR-A, and SDR-W.
    XBRL file attachments will be considered valid if they contain 
multiple identically tagged XBRL facts.
    Documentation updates were made to Chapter 2 of the ``EDGAR Filer 
Manual, Volume I: General Information'' and Chapters 2, 3, and 7 of the 
``EDGAR Filer Manual, Volume II: EDGAR Filing'' relating to Form NRSRO.
    Formatting changes were made to ``EDGAR Filer Manual, Volume I: 
General Information'', ``EDGAR Filer Manual, Volume II: EDGAR Filing'', 
and ``EDGAR Filer Manual, Volume III: N-SAR Supplement'' 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 July 10, 2015, EDGAR Release 15.2.e.4 
introduced the following change:

 Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A, and 
1-A POS were updated to prevent a filer from entering a response in 
Item 6(d) when the ``None'' option has been selected on Item 6.

    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).\6\ It follows that

[[Page 59580]]

the requirements of the Regulatory Flexibility Act \7\ do not apply.
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    \6\ 5 U.S.C. 553(b).
    \7\ 5 U.S.C. 601-612.
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    The effective date for the updated Filer Manual and the rule 
amendments is October 2, 2015. 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 15.3 is scheduled to become available on September 14, 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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    \8\ 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,\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\
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    \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.
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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 23 (September 2015). The requirements for filing 
on EDGAR are set forth in the updated EDGAR Filer Manual, Volume II: 
``EDGAR Filing,'' Version 34 (September 2015). Additional provisions 
applicable to Form N-SAR filers are set forth in the EDGAR Filer 
Manual, Volume III: ``N-SAR Supplement,'' Version 5 (September 2015). 
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. 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: September 15, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015-24904 Filed 10-1-15; 8:45 am]
 BILLING CODE 8011-01-P
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