Adoption of Updated EDGAR Filer Manual, 31501-31503 [2016-11764]
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Federal Register / Vol. 81, No. 97 / Thursday, May 19, 2016 / Rules and Regulations
Exemption
2007 base
Minimum Payment ...................................................................................................................................................
Large Franchise Investment ....................................................................................................................................
Large franchisee ......................................................................................................................................................
Because the calculation of these
thresholds is purely ministerial in
nature and implements the Rule’s
mandatory adjustment mechanism,
these adjustments are exempt from the
rulemaking procedures specified in
section 18 of the FTC Act.11 In addition,
the Commission has determined that
notice and comment are unnecessary
under the Administrative Procedure Act
(APA) for the same reason. The
Commission, therefore, has omitted
notice and comment for good cause as
provided by section 553(b)(B) of the
APA.12 For this reason, the
requirements of the Regulatory
Flexibility Act also do not apply.13
Accordingly, the adjusted thresholds
will take effect on July 1, 2016.
List of Subjects in 16 CFR Part 436
Advertising, Business and industry,
Franchising, Trade practices.
PART 436—DISCLOSURE
REQUIREMENTS AND PROHIBITIONS
CONCERNING FRANCHISING
1. The authority citation for part 436
continues to read as follows:
■
Authority: 15 U.S.C. 41–58.
[Amended]
2. Amend § 436.8 as follows:
a. In paragraph (a)(1), remove ‘‘$540’’
and, in its place, add ‘‘$570’’;
■ b. In paragraph (a)(5)(i), remove both
references to ‘‘$1,084,900’’ and, in their
place, add ‘‘$1,143,100’’; and
■ c. In paragraph (a)(5)(ii), remove
‘‘$5,424,500’’ and, in its place, add
‘‘$5,715,500’’.
asabaliauskas on DSK3SPTVN1PROD with RULES
■
■
10 The Commission has rounded this figure from
$571.55 to $570 for compliance clarity and
simplicity.
11 See 15 U.S.C. 57a(d)(2)(B); 16 CFR 1.15(b)
(providing that non-substantive amendments to
trade regulation rules are exempt from the
rulemaking procedures of Section 18 of the FTC
Act).
12 5 U.S.C. 553(b)(B) (providing that ‘‘good cause’’
exists to forego notice and comment when public
comment is unnecessary).
13 5 U.S.C. 603 and 604 (no regulatory flexibility
analyses required where the APA does not require
public comment).
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[FR Doc. 2016–11789 Filed 5–18–16; 8:45 am]
BILLING CODE 6750–01–P
SECURITIES AND EXCHANGE
COMMISSION
17 CFR Part 232
[Release Nos. 33–10071; 34–77693; 39–
2509; IC–32091]
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 support the 2016
XBRL taxonomies; add new submission
form types SBSE, SBSE/A, SBSE–A,
SBSE–A/A, SBSE–BD, SBSE–BD/A,
SBSE–C and SBSE–W pursuant to
Section 15F of the Securities Exchange
Act of 1934 (the Exchange Act) and
Rules 15Fb1–1 through 15Fb6–2
thereunder; add submission form types
17HACON, 17HACON/A, 17HQCON
and 17HQCON/A pursuant to Rules
17h–1T and 17h–2T under the Exchange
Act; and permit a value of zero in
addition to the currently allowable
numeric values in the ‘‘Current Number
of Employees’’ field on the ‘‘Disclosure
Requirements’’ screen of the Regulation
Crowdfunding submission form types C,
C/A and C–U. The EDGAR system was
upgraded to support the new 2016
XBRL taxonomies on March 7, 2016.
The EDGAR system is scheduled to be
upgraded to support the other
functionalities on April 25, 2016.
DATES: Effective May 19, 2016 The
incorporation by reference of the
EDGAR Filer Manual is approved by the
Director of the Federal Register as of
May 19, 2016.
FOR FURTHER INFORMATION CONTACT: In
the Division of Trading and Markets, for
SUMMARY:
Rule Amendments
For the reasons set out in the
preamble of this document, the Federal
Trade Commission amends 16 CFR part
436 as follows:
§ 436.8
By direction of the Commission.
Donald S. Clark,
Secretary.
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$500
1,000,000
5,000,000
31501
Adjusted
2016
threshold
10 $570
1,143,100
5,715,500
questions concerning Form SBSE, Form
SBSE–A, Form SBSE–BD, Form SBSE–
C, Form SBSE–W, and Form 17–H,
contact Kathy Bateman at (202) 551–
4345; in the Division of Corporation
Finance, for questions concerning Form
C, contact Vik Sheth at (202) 551–3818;
and in the Division of Economic and
Risk Analysis, for questions concerning
XBRL taxonomies, contact Walter
Hamscher at (202) 551–5397.
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.
The revisions to the Filer Manual
reflect changes within Volume II
entitled EDGAR Filer Manual, Volume
II: ‘‘EDGAR Filing,’’ Version 36 (April
2016). 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 16.1 on April 25, 2016 and
will introduce the following changes:
Pursuant to Section 15F of the
Exchange Act and Rules 15Fb1–1
through 15Fb6–2 thereunder, Securitybased Swap Dealers and Major Securitybased Swap Participants will be able to
electronically register, amend their
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 December 14, 2015. See Release No. 33–
9987 (January 4, 2016) [81 FR 3].
2 See Rule 301 of Regulation S–T (17 CFR
232.301).
3 See Release No. 33–9987 in which we
implemented EDGAR Release 15.4. For additional
history of Filer Manual rules, please see the cites
therein.
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19MYR1
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31502
Federal Register / Vol. 81, No. 97 / Thursday, May 19, 2016 / Rules and Regulations
registration and withdraw from their
registration with the Commission using
the following submission form types:
• SBSE: Application for Registration
of Security-based Swap Dealers and
Major Security-based Swap Participants
• SBSE/A: Amendment to an
Application for Registration of Securitybased Swap Dealers and Major Securitybased Swap Participants
• SBSE–A: Application for
Registration of Security-based Swap
Dealers and Major Security-based Swap
Participants that are Registered or
Registering with the Commodity Futures
Trading Commission as a Swap Dealer
or Major Swap Participant
• SBSE–A/A: Amendment to an
Application for Registration of Securitybased Swap Dealers and Major Securitybased Swap Participants that are
Registered or Registering with the
Commodity Futures Trading
Commission as a Swap Dealer or Major
Swap Participant
• SBSE–BD: Application for
Registration of Security-based Swap
Dealers and Major Security-based Swap
Participants that are Registered Brokerdealers
• SBSE–BD/A: Amendment to an
Application for Registration of Securitybased Swap Dealers and Major Securitybased Swap Participants that are
Registered Broker-dealers
• SBSE–C: Certifications for
Registration of Security-based Swap
Dealers and Major Security-based Swap
Participants
• SBSE–W: Request for Withdrawal
from Registration as Security-based
Swap Dealer or Major Security-based
Swap Participant
These submission form types can be
accessed by clicking the ‘‘File SBSE’’
link on the EDGAR Filing Web site.
Additionally, filers can construct XML
submissions for SBSE, SBSE/A, SBSE–
A, SBSE–A/A, SBSE–BD, SBSE–BD/A,
SBSE–C, and SBSE–W by following the
‘‘EDGAR Form SBSE XML Technical
Specification’’ document located on the
SEC’s Public Web site (https://
www.sec.gov/info/edgar.shtml).
Pursuant to Exchange Act Rules 17h–
1T and 17h–2T, broker-dealers that
choose to file electronically will now
submit the Risk Assessment Report for
Brokers and Dealers Form 17–H via
EDGAR using the following submission
form types:
• 17HACON: Confidential broker
dealer annual 17–H report
• 17HACON/A: Amendment for
confidential broker dealer annual 17–H
report
• 17HQCON: Confidential broker
dealer quarterly 17–H report
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• 17HQCON/A: Amendment for
confidential broker dealer quarterly 17–
H report
These submission form types can be
accessed by clicking the ‘‘File 17–H’’
link on the EDGAR Filing Web site.
Additionally, broker-dealers can
construct XML submissions for
17HACON, 17HACON/A, 17HQCON,
and 17HQCON/A by following the
‘‘EDGAR Form 17–H XML Technical
Specification’’ document located on the
SEC’s Public Web site (https://
www.sec.gov/info/edgar.shtml).
The ‘‘Current Number of Employees’’
field on the ‘‘Disclosure Requirements’’
screen of the Regulation Crowdfunding
submission form types C, C/A, and C–
U has been updated to permit a value
of zero in addition to the currently
allowable numeric values.
On March 7, 2016, the EDGAR system
was upgraded to Release 16.0.3 and now
supports the 2016 US GAAP, 2016
COUNTRY, 2016 CURRENCY and 2016
EXCH taxonomies. Please see https://
sec.gov/info/edgar/
edgartaxonomies.shtml for the complete
listing of supported standard
taxonomies.
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 May 19, 2016. 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
16.1 is scheduled to become available
on April 25, 2016. 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 these system upgrades.
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. 77f, 77g, 77h, 77j,
77s(a), 77z–3, 77sss(a), 78c(b), 78l, 78m, 78n,
78o(d), 78w(a), 78ll, 80a–6(c), 80a–8, 80a–29,
80a–30, 80a–37, and 7201 et seq.; and 18
U.S.C. 1350.
*
*
*
*
*
2. Section 232.301 is revised to read
as follows:
■
§ 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 24 (December
2015). The requirements for filing on
EDGAR are set forth in the updated
EDGAR Filer Manual, Volume II:
‘‘EDGAR Filing,’’ Version 36 (April
2016). Additional provisions applicable
to Form N–SAR filers are set forth in the
EDGAR Filer Manual, Volume III: ‘‘N–
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
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8 15
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E:\FR\FM\19MYR1.SGM
19MYR1
Federal Register / Vol. 81, No. 97 / Thursday, May 19, 2016 / Rules and Regulations
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.
Dated: April 22, 2016.
By the Commission.
Brent J. Fields,
Secretary.
[FR Doc. 2016–11764 Filed 5–18–16; 8:45 am]
BILLING CODE 8011–01–P
DEPARTMENT OF HOUSING AND
URBAN DEVELOPMENT
24 CFR Part 7
[Docket No. FR–5645–F–01]
RIN 2501–AD78
Removal of the Equal Employment
Opportunity; Policy, Procedures and
Programs Regulation
Office of the Secretary, HUD.
Final rule.
AGENCY:
ACTION:
To increase the effectiveness
of its Equal Employment Opportunity
(EEO) program and streamline HUD’s
regulations, HUD has decided to remove
24 CFR part 7 (HUD’s EEO regulation),
while continuing to publish its EEO
policy and procedures as administrative
guidance. This action is necessary
because HUD’s EEO regulation has been
superseded by the Equal Employment
Opportunity Commission (EEOC)
regulation at 29 CFR part 1614 (EEOC’s
regulation) and therefore does not
establish binding requirements. In
addition, HUD’s EEO regulation was
asabaliauskas on DSK3SPTVN1PROD with RULES
SUMMARY:
VerDate Sep<11>2014
16:37 May 18, 2016
Jkt 238001
intended to conform to and mirror
EEOC’s regulation. As EEOC’s
regulation has been revised, HUD’s EEO
regulation has become outdated and
may create confusion for parties having
to reconcile differing HUD and EEOC
regulations. By consolidating its EEO
policy and procedures in administrative
guidance, HUD can more effectively
incorporate amendments to EEOC’s
regulation, highlight HUD-specific
guidance, and simplify the procedures
for parties seeking to exercise their EEO
rights.
DATES: Effective: June 20, 2016.
FOR FURTHER INFORMATION CONTACT: John
P. Benison, Director, Office of
Departmental Equal Employment
Opportunity, Department of Housing
and Urban Development, 451 7th Street
SW., Room 2102, Washington, DC
20410; telephone number 202–708–3362
(this is not a toll-free number). Persons
with hearing or speech impairments
may access this number through TTY by
calling the Federal Relay Service at 800–
877–8339 (this is a toll-free number).
SUPPLEMENTARY INFORMATION:
I. Background
HUD policy is to provide equality of
employment opportunity for all persons,
and to prohibit discrimination because
of race, color, religion, sex (including
gender identity, sexual orientation, and
pregnancy), national origin, age,
disability, or genetic information in all
facets of employment. These policies are
integral to HUD’s mission and underlie
its efforts to promote economic and
community development; increase
homeownership; create affordable
housing opportunities for low-income
Americans; enforce the Nation’s fair
housing laws; and support the
homeless, the elderly, people with
disabilities, and people living with
AIDS. Toward this goal, HUD remains
committed to promoting affirmative
employment through the removal of
barriers and by positive actions at every
management level, including the early
resolution of EEO disputes.
To increase the effectiveness of HUD’s
EEO program and streamline HUD’s
regulations, HUD has decided to
consolidate its EEO policy and
procedure, currently codified in HUD’s
EEO regulation at 24 CFR part 7, in
administrative guidance that is already
posted on HUD’s Web site. This action
is necessary because HUD’s EEO
regulation has been superseded by
EEOC regulation, and, as such, does not
establish binding requirements. In
addition, this action allows HUD to
ensure that its EEO policy and
procedures are accurate and up-to-date.
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31503
HUD’s EEO regulation was
promulgated on April 23, 2001 (66 FR
20564). When published, the rule was
intended to mirror and conform to
EEOC’s ‘‘Federal Sector Equal
Employment Opportunity’’ regulation at
29 CFR part 1614. Since promulgation
of HUD’s EEO Regulation, EEOC’s
regulation at 29 CFR part 1614 was
revised several times: On May 21, 2002,
to implement the amendment of section
501 of the Rehabilitation Act, under the
Rehabilitation Act Amendments of
1992; on August 2, 2006, to address the
posting requirements of the Notification
and Federal Employee
Antidiscrimination and Retaliation Act
of 2002 (71 FR 43644); on December 7,
2009, to include references to title II of
the Genetic Information
Nondiscrimination Act of 2008 (74 FR
63981); on July 25, 2012, to reform the
Federal sector EEO complaint process
(77 FR 43498); and on various other
dates to implement clerical or
procedural changes. As a result, HUD’s
EEO Regulation no longer mirrors
EEOC’s regulation and is now outdated.
HUD is concerned that this may result
in confusion for parties required to
reconcile HUD’s EEO regulation and
EEOC’s regulation. Further, the
provisions of HUD’s EEO regulation that
expand on EEOC’s regulation may add
further confusion by adding procedures
that apply only to HUD and not to those
employees or applicants seeking
information about Federal equal
employment opportunity policies,
procedures, and programs.
To remedy this situation, HUD is
removing 24 CFR part 7. By removing
HUD’s EEO regulation and
consolidating all of HUD’s EEO policy
and procedures in administrative
guidance, HUD can more effectively
incorporate amendments to EEOC’s
regulation, highlight HUD specific
guidance, and simplify the procedures
for parties seeking to exercise their EEO
rights.
HUD consulted with the EEOC in
development of this final rule,
consistent with ‘‘Executive Order
12067—Providing for Coordination of
Federal Equal Employment Opportunity
programs’’ (43 FR 28967). Executive
Order 12067 requires that ‘‘agencies
shall advise and offer to consult with
the Equal Employment Opportunity
Commission during the development of
any proposed rules, regulations,
policies, procedures or orders
concerning equal employment
opportunity.’’
II. Justification for Final Rulemaking
HUD generally publishes a rule for
public comment before issuing a rule for
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]]>Agencies
[Federal Register Volume 81, Number 97 (Thursday, May 19, 2016)]
[Rules and Regulations]
[Pages 31501-31503]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-11764]
=======================================================================
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
17 CFR Part 232
[Release Nos. 33-10071; 34-77693; 39-2509; IC-32091]
Adoption of Updated EDGAR Filer Manual
AGENCY: Securities and Exchange Commission.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Securities and Exchange Commission (the Commission) is
adopting revisions to the Electronic Data Gathering, Analysis, and
Retrieval System (EDGAR) Filer Manual and related rules to reflect
updates to the EDGAR system. The updates are being made primarily to
support the 2016 XBRL taxonomies; add new submission form types SBSE,
SBSE/A, SBSE-A, SBSE-A/A, SBSE-BD, SBSE-BD/A, SBSE-C and SBSE-W
pursuant to Section 15F of the Securities Exchange Act of 1934 (the
Exchange Act) and Rules 15Fb1-1 through 15Fb6-2 thereunder; add
submission form types 17HACON, 17HACON/A, 17HQCON and 17HQCON/A
pursuant to Rules 17h-1T and 17h-2T under the Exchange Act; and permit
a value of zero in addition to the currently allowable numeric values
in the ``Current Number of Employees'' field on the ``Disclosure
Requirements'' screen of the Regulation Crowdfunding submission form
types C, C/A and C-U. The EDGAR system was upgraded to support the new
2016 XBRL taxonomies on March 7, 2016. The EDGAR system is scheduled to
be upgraded to support the other functionalities on April 25, 2016.
DATES: Effective May 19, 2016 The incorporation by reference of the
EDGAR Filer Manual is approved by the Director of the Federal Register
as of May 19, 2016.
FOR FURTHER INFORMATION CONTACT: In the Division of Trading and
Markets, for questions concerning Form SBSE, Form SBSE-A, Form SBSE-BD,
Form SBSE-C, Form SBSE-W, and Form 17-H, contact Kathy Bateman at (202)
551-4345; in the Division of Corporation Finance, for questions
concerning Form C, contact Vik Sheth at (202) 551-3818; and in the
Division of Economic and Risk Analysis, for questions concerning XBRL
taxonomies, contact Walter Hamscher at (202) 551-5397.
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 December 14, 2015. See Release No. 33-9987 (January
4, 2016) [81 FR 3].
---------------------------------------------------------------------------
The revisions to the Filer Manual reflect changes within Volume II
entitled EDGAR Filer Manual, Volume II: ``EDGAR Filing,'' Version 36
(April 2016). 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\
---------------------------------------------------------------------------
\2\ See Rule 301 of Regulation S-T (17 CFR 232.301).
\3\ See Release No. 33-9987 in which we implemented EDGAR
Release 15.4. For additional history of Filer Manual rules, please
see the cites therein.
---------------------------------------------------------------------------
The EDGAR system will be upgraded to Release 16.1 on April 25, 2016
and will introduce the following changes:
Pursuant to Section 15F of the Exchange Act and Rules 15Fb1-1
through 15Fb6-2 thereunder, Security-based Swap Dealers and Major
Security-based Swap Participants will be able to electronically
register, amend their
[[Page 31502]]
registration and withdraw from their registration with the Commission
using the following submission form types:
SBSE: Application for Registration of Security-based Swap
Dealers and Major Security-based Swap Participants
SBSE/A: Amendment to an Application for Registration of
Security-based Swap Dealers and Major Security-based Swap Participants
SBSE-A: Application for Registration of Security-based
Swap Dealers and Major Security-based Swap Participants that are
Registered or Registering with the Commodity Futures Trading Commission
as a Swap Dealer or Major Swap Participant
SBSE-A/A: Amendment to an Application for Registration of
Security-based Swap Dealers and Major Security-based Swap Participants
that are Registered or Registering with the Commodity Futures Trading
Commission as a Swap Dealer or Major Swap Participant
SBSE-BD: Application for Registration of Security-based
Swap Dealers and Major Security-based Swap Participants that are
Registered Broker-dealers
SBSE-BD/A: Amendment to an Application for Registration of
Security-based Swap Dealers and Major Security-based Swap Participants
that are Registered Broker-dealers
SBSE-C: Certifications for Registration of Security-based
Swap Dealers and Major Security-based Swap Participants
SBSE-W: Request for Withdrawal from Registration as
Security-based Swap Dealer or Major Security-based Swap Participant
These submission form types can be accessed by clicking the ``File
SBSE'' link on the EDGAR Filing Web site. Additionally, filers can
construct XML submissions for SBSE, SBSE/A, SBSE-A, SBSE-A/A, SBSE-BD,
SBSE-BD/A, SBSE-C, and SBSE-W by following the ``EDGAR Form SBSE XML
Technical Specification'' document located on the SEC's Public Web site
(https://www.sec.gov/info/edgar.shtml).
Pursuant to Exchange Act Rules 17h-1T and 17h-2T, broker-dealers
that choose to file electronically will now submit the Risk Assessment
Report for Brokers and Dealers Form 17-H via EDGAR using the following
submission form types:
17HACON: Confidential broker dealer annual 17-H report
17HACON/A: Amendment for confidential broker dealer annual
17-H report
17HQCON: Confidential broker dealer quarterly 17-H report
17HQCON/A: Amendment for confidential broker dealer
quarterly 17-H report
These submission form types can be accessed by clicking the ``File
17-H'' link on the EDGAR Filing Web site. Additionally, broker-dealers
can construct XML submissions for 17HACON, 17HACON/A, 17HQCON, and
17HQCON/A by following the ``EDGAR Form 17-H XML Technical
Specification'' document located on the SEC's Public Web site (https://www.sec.gov/info/edgar.shtml).
The ``Current Number of Employees'' field on the ``Disclosure
Requirements'' screen of the Regulation Crowdfunding submission form
types C, C/A, and C-U has been updated to permit a value of zero in
addition to the currently allowable numeric values.
On March 7, 2016, the EDGAR system was upgraded to Release 16.0.3
and now supports the 2016 US GAAP, 2016 COUNTRY, 2016 CURRENCY and 2016
EXCH taxonomies. Please see https://sec.gov/info/edgar/edgartaxonomies.shtml for the complete listing of supported standard
taxonomies.
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 May 19, 2016. 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
16.1 is scheduled to become available on April 25, 2016. 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 these system upgrades.
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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. 77f, 77g, 77h, 77j, 77s(a), 77z-3,
77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll, 80a-6(c),
80a-8, 80a-29, 80a-30, 80a-37, and 7201 et seq.; and 18 U.S.C. 1350.
* * * * *
0
2. Section 232.301 is revised to read as follows:
Sec. 232.301 EDGAR Filer Manual.
Filers must prepare electronic filings in the manner prescribed by
the EDGAR Filer Manual, promulgated by the Commission, which sets out
the technical formatting requirements for electronic submissions. The
requirements for becoming an EDGAR Filer and updating company data are
set forth in the updated EDGAR Filer Manual, Volume I: ``General
Information,'' Version 24 (December 2015). The requirements for filing
on EDGAR are set forth in the updated EDGAR Filer Manual, Volume II:
``EDGAR Filing,'' Version 36 (April 2016). Additional provisions
applicable to Form N-SAR filers are set forth in the EDGAR Filer
Manual, Volume III: ``N-
[[Page 31503]]
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.
Dated: April 22, 2016.
By the Commission.
Brent J. Fields,
Secretary.
[FR Doc. 2016-11764 Filed 5-18-16; 8:45 am]
BILLING CODE 8011-01-P
