Adoption of Updated EDGAR Filer Manual, 7645-7647 [2016-32032]
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Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Rules and Regulations
no regulatory choices the Commission
could make that would supersede the
pre-enactment analysis with respect to
the five factors enumerated in section
15(a), or any other factors.
List of Subjects in 17 CFR Part 143
Civil monetary penalties, Claims.
For the reasons stated in the
preamble, the Commodity Futures
Trading Commission amends part 17
CFR part 143 as follows:
PART 143—COLLECTION OF CLAIMS
OWED THE UNITED STATES ARISING
FROM ACTIVITIES UNDER THE
COMMISSION’S JURISDICTION
1. The authority citation for part 143
continues to read as follows:
■
Authority: 7 U.S.C. 9, 15, 9a, 12a(5), 13a,
13a–1(d), 13(a), 13b; 31 U.S.C. 3701–3720E;
28 U.S.C. 2461 note.
2. Amend § 143.8 as follows:
a. Revise paragraphs (a)(1)(ii)
introductory text, (a)(2)(ii), (a)(3)(ii)
introductory text, and (a)(4)(ii)
introductory text; and
■ b. Add paragraphs (a)(1)(iii), (a)(2)(iii),
(a)(3)(iii), and (a)(4)(iii).
The revisions and additions read as
follows:
■
■
mstockstill on DSK3G9T082PROD with RULES
§ 143.8 Inflation-adjusted civil monetary
penalties.
(a) * * *
(1) * * *
(ii) In an administrative proceeding
before the Commission or a civil action
in Federal court initiated on August 1,
2016 through January 14, 2017:
*
*
*
*
*
(iii) In an administrative proceeding
before the Commission or a civil action
in Federal court initiated on or after
January 15, 2017:
(A) For manipulation or attempted
manipulation violations, not more than
the greater of $1,116,156 or triple the
monetary gain to such person for each
such violation; and
(B) For all other violations, not more
than the greater of $154,734 or triple the
monetary gain to such person for each
such violation; and
(2) * * *
(ii) In an administrative proceeding
before the Commission or a civil action
in Federal court initiated on August 1,
2016 through January 14, 2017, not
more than the greater of $152,243 or
triple the monetary gain to such person
for each such violation;
(iii) In an administrative proceeding
before the Commission or a civil action
in Federal court initiated on or after
January 15, 2017, not more than the
greater of $154,734 or triple the
VerDate Sep<11>2014
18:54 Jan 19, 2017
Jkt 241001
monetary gain to such person for each
such violation; and
(3) * * *
(ii) In an administrative proceeding
before the Commission or a civil action
in Federal court initiated on August 1,
2016 through January 14, 2017:
*
*
*
*
*
(iii) In an administrative proceeding
before the Commission or a civil action
in Federal court initiated on or after
January 15, 2017:
(A) For manipulation or attempted
manipulation violations, not more than
the greater of $1,116,156 or triple the
monetary gain to such person for each
such violation; and
(B) For all other violations, not more
than the greater of $852,360 or triple the
monetary gain to such person for each
such violation; and
(4) * * *
(ii) In an administrative proceeding
before the Commission or a civil action
in Federal court initiated on August 1,
2016 through January 14, 2017:
*
*
*
*
*
(iii) In an administrative proceeding
before the Commission or a civil action
in Federal court initiated on or after
January 15, 2017:
(A) For manipulation or attempted
manipulation violations, not more than
the greater of $1,116,156 or triple the
monetary gain to such person for each
such violation; and
(B) For all other violations, not more
than the greater of $170,472 or triple the
monetary gain to such person for each
such violation.
*
*
*
*
*
Issued in Washington, DC, on January 6,
2017, by the Commission.
Robert N. Sidman,
Deputy Secretary of the Commission.
Note: The following appendix will not
appear in the Code of Federal Regulations.
Appendix to Adjustment of Civil
Monetary Penalties for Inflation—
2017—Commission Voting Summary
On this matter, Chairman Massad and
Commissioners Bowen and Giancarlo voted
in the affirmative. No Commissioner voted in
the negative.
7645
SECURITIES AND EXCHANGE
COMMISSION
17 CFR Part 232
[Release Nos. 33–10265; 34–79519; 39–
2513; IC–32387]
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
submission of Municipal Advisor
submission form types. The EDGAR
system is scheduled to be upgraded to
support the other functionalities on
December 12, 2016.
DATES: Effective January 23, 2017. The
incorporation by reference of the
EDGAR Filer Manual is approved by the
Director of the Federal Register as of
January 23, 2017.
FOR FURTHER INFORMATION CONTACT: In
the Division of Corporation Finance, for
questions concerning Form ABS–EE and
Regulation A submission form types,
contact Vik Sheth at (202) 551–3818; in
the Division of Trading and Markets, for
questions concerning Form MA and
Form 17–H, contact Kathy Bateman at
(202) 551–4345; and in the Division of
Economic and Risk Analysis, for
questions concerning eXtensible
Business Reporting Language (XBRL)
submissions; contact Walter Hamscher
at (202) 551–5397.
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 25
(December 2016), and Volume II entitled
SUMMARY:
[FR Doc. 2017–00488 Filed 1–19–17; 8:45 am]
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 September 19, 2016. See Release No. 33–
10217 (September 30, 2016) [81 FR 67118].
BILLING CODE 6351–01–P
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mstockstill on DSK3G9T082PROD with RULES
7646
Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Rules and Regulations
EDGAR Filer Manual, Volume II:
‘‘EDGAR Filing,’’ Version 39 (December
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 16.4 on December 12, 2016
and will introduce the following
changes:
Filers will be able to submit the
Municipal Advisor submission form
types MA, MA–A, MA/A, MA–I, MA–I/
A, and MA–W in filer-constructed XML
format from the EDGAR Filing Web site.
For more information, see the ‘‘EDGAR
Form MA XML Technical
Specification’’ document available on
the SEC’s Public Web site (https://
www.sec.gov/info/edgar/tech-specs).
Filers will be able to provide up to
200 owners instead of 50 owners for
Schedules A–1, A–2, B–1, and B–2
within MA, MA–A, and MA/A
submissions (Schedules A–1, A–2, B–1,
and B–2 are amended via Schedule C for
MA–A and MA/A submissions).
EDGAR will be upgraded to allow an
entity with any Standard Industrial
Classification (SIC) code value or no
value (NULL) to request the creation of
ABS Issuing Entities.
EDGAR will be updated to allow
duplicate submissions for ABS–EE.
EDGARLink Online will be updated
for ABS–EE and ABS–EE/A submissions
such that non-existent CIKs will be
flagged as errors during header data
entry instead of after the submission has
been sent and processed by EDGAR.
The ABS–EE Asset Data schema will
be updated to introduce the following
Asset Class Item with date format MM/
YYYY:
• RMBS ABS Asset Class: Item
1(c)(13)(vi), Most Senior Lien
Origination Date
In addition, the ABS–EE Asset Data
schema will be updated to change the
following Asset Class Item from an
integer value to a percentage value:
2 See Rule 301 of Regulation S–T (17 CFR
232.301).
3 See Release No. 33–10217 in which we
implemented EDGAR Release 16.3. For additional
history of Filer Manual rules, please see the
citations therein.
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18:54 Jan 19, 2017
Jkt 241001
• CMBS ABS Asset Class: Item
2(c)(28)(iv), ARM Margin Number
For more information, see the updated
‘‘EDGAR ABS XML Technical
Specification’’ document located on the
SEC’s Public Web site (https://
www.sec.gov/info/edgar/tech-specs).
EDGAR will transform word
expressions for numbers, dates, and
word or symbol expressions for QNames
and nil expressions into their respective
XML representations in Inline XBRL
submissions. Filers will be able to
provide typed dimensions in XBRL
submissions. In addition, the following
HTML tags will be usable in traditional
XBRL documents: <SPAN>, <TBODY>,
<TFOOT>, and <THEAD>.
All ASCII character validations will
be removed for broker-dealer entity
name fields on submission form types
17HACON, 17HACON/A, 17HQCON,
and 17HQCON/A. Broker-dealers now
will be able to submit the
aforementioned filings, irrespective of
the ASCII characters in the brokerdealer entity name.
Filers will be able to shift the order
of the uploaded documents, and
simultaneously select/de-select all
uploaded documents on the ‘‘Attach
Documents List’’ screen for the
Regulation A submission form types
DOS, DOS/A, 1–A, 1–A/A, 1–A POS, 1–
K, and 1–K/A.
On October 31, 2016, the EDGAR
system was upgraded to Release 16.3.3
and now supports the following
changes:
The ABS–EE CMBS Asset Class Item
2(e)(17), ‘‘Payment Status Loan Code’’
associated types were updated to
include the value ‘‘0’’ for loan payment
status of ‘‘Current’’. For more
information, see section 4.3.20 of the
updated ‘‘EDGAR ABS XML Technical
Specification’’ document located on the
SEC’s Public Web site (https://
www.sec.gov/info/edgar/tech-specs).
The maximum allowable submission
size for form types ABS–EE and ABS–
EE/A was increased to 600 MB.
EDGAR was updated to remove the
timeliness rule check, and to no longer
verify if the submission form types NT
10–K, NTN 10K, NT 10–Q, NTN 10Q,
NT 15D2, NTN15D2, NT 10–D, NTN
10D, NT 20–F, and NTN 20F were
submitted before the filing deadline.
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.
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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/edmanuals.htm. 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 January 23, 2017. 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 16.4 is scheduled to become
available on December 12, 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:
45
U.S.C. 553(b)(A).
U.S.C. 601–612.
6 5 U.S.C. 553(d)(3).
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.
55
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Federal Register / Vol. 82, No. 13 / Monday, January 23, 2017 / Rules and Regulations
PART 232—REGULATION S–T—
GENERAL RULES AND REGULATIONS
FOR ELECTRONIC FILINGS
Dated: December 9, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016–32032 Filed 1–19–17; 8:45 am]
1. The authority citation for Part 232
continues to read in part as follows:
■
BILLING CODE 8011–01–P
Authority: 15 U.S.C. 77f, 77g, 77h, 77j,
77s(a), 77z–3, 77sss(a), 78c(b), 78l, 78m, 78n,
78o(d), 78w(a), 78ll, 80a–6(c), 80a–8, 80a–29,
80a–30, 80a–37, and 7201 et seq.; and 18
U.S.C. 1350.
*
*
*
*
Delaware River Basin
Commission.
ACTION: Correcting amendments.
AGENCY:
2. Section 232.301 is revised to read
as follows:
mstockstill on DSK3G9T082PROD with RULES
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 25 (December
2016). The requirements for filing on
EDGAR are set forth in the updated
EDGAR Filer Manual, Volume II:
‘‘EDGAR Filing,’’ Version 39 (December
2016). 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/edmanuals.htm. 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.
VerDate Sep<11>2014
18:54 Jan 19, 2017
18 CFR Part 401
Regulatory Program Fees; Correction
*
■
§ 232.301
DELAWARE RIVER BASIN
COMMISSION
Jkt 241001
The Delaware River Basin
Commission published a document in
the Federal Register on December 29,
2016 (81 FR 95860), in relevant part
amending the Rules of Practice and
Procedure. The document failed to
include rule text approved by the
Commission relating to the annual
monitoring and coordination fee. This
document corrects the final regulations
by incorporating the approved language.
In addition, this document corrects the
preamble to clarify that in adopting the
final rule, the Commission acted by
Resolution No. 2016–9, not 2016–8.
DATES: This final rule is effective
January 23, 2017.
FOR FURTHER INFORMATION CONTACT:
Pamela M. Bush, Commission Secretary
and Assistant General Counsel, 609–
477–7203.
SUPPLEMENTARY INFORMATION:
Background. When the Commission
adopted Resolution No. 2016–9, in
relevant part approving amendments to
the Rules of Practice and Procedure (18
CFR part 401) concerning regulatory
program fees, it approved rule language
to expressly exclude from the
calculation of the annual monitoring
and coordination fee all water for which
an entitlement issued pursuant to the
Basin Regulations—Water Supply
Charges (18 CFR part 420) is in effect.
Final rule documents posted on the
Commission’s Web site included the
approved language, but the language
was inadvertently omitted from DRBC’s
Federal Register submission and thus
from the CFR.
In addition, the preamble to the final
rule published in the Federal Register
incorrectly referred to the Commission’s
rule adoption resolution as number
2016–8, when the resolution was
number 2016–9.
SUMMARY:
Corrections
Preamble Correction. In final rule FR
Doc. 2016–31146, beginning on page
95860 in the issue of December 29,
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7647
2016, ‘‘2016–8’’ is corrected to read
‘‘2016–9’’ in the following locations in
the SUPPLEMENTARY INFORMATION section:
On page 95860 in the second column
(first line of the last paragraph) and
third column (sixth line from the
bottom); and on page 95861 in the first
column (first line).
Rule Correction. As published, the
final regulations omit language adopted
by the Commission in response to
comments received. The regulations are
thus incorrect and in need of
amendment, as set forth below.
List of Subjects in 18 CFR Part 401
Administrative practice and
procedure, Project review, Water
pollution control, Water resources.
Accordingly, 18 CFR part 401 is
corrected by the following correcting
amendments:
PART 401—RULES OF PRACTICE AND
PROCEDURE
1. The authority citation for part 401
continues to read as follows:
■
Authority: Delaware River Basin Compact
(75 Stat. 688), unless otherwise noted.
Subpart C—Project Review Under
Section 3.8 of the Compact
2. In § 401.43, revise paragraph (b)(2)
to read as follows:
■
§ 401.43
Regulatory program fees.
*
*
*
*
*
(b) * * *
(2) Annual monitoring and
coordination fee. (i) Except as provided
in paragraph (b)(2)(ii) of this section, an
annual monitoring and coordination fee
shall apply to each active water
allocation or wastewater discharge
approval issued pursuant to the
Compact and implementing regulations,
regardless of whether the approval was
issued by the Commission in the form
of a docket, permit or other instrument,
or by a Signatory Party Agency under
the One Permit Program rule (§ 401.42).
The fee shall be based on the amount of
a project’s approved monthly water
allocation and/or approved daily
discharge capacity.
(ii) For any withdrawal or diversion
covered in part by a certificate of
entitlement issued pursuant to §§ 420.31
and 420.32 of the water supply charges
regulations (18 CFR part 420), the
annual monitoring and coordination fee
shall be based on the allocated amount,
if any, in excess of the quantity
specified in the entitlement.
*
*
*
*
*
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[Federal Register Volume 82, Number 13 (Monday, January 23, 2017)]
[Rules and Regulations]
[Pages 7645-7647]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-32032]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
17 CFR Part 232
[Release Nos. 33-10265; 34-79519; 39-2513; IC-32387]
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 submission of Municipal Advisor submission form types. The
EDGAR system is scheduled to be upgraded to support the other
functionalities on December 12, 2016.
DATES: Effective January 23, 2017. The incorporation by reference of
the EDGAR Filer Manual is approved by the Director of the Federal
Register as of January 23, 2017.
FOR FURTHER INFORMATION CONTACT: In the Division of Corporation
Finance, for questions concerning Form ABS-EE and Regulation A
submission form types, contact Vik Sheth at (202) 551-3818; in the
Division of Trading and Markets, for questions concerning Form MA and
Form 17-H, contact Kathy Bateman at (202) 551-4345; and in the Division
of Economic and Risk Analysis, for questions concerning eXtensible
Business Reporting Language (XBRL) submissions; contact Walter Hamscher
at (202) 551-5397.
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.
---------------------------------------------------------------------------
\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 September 19, 2016. See Release No. 33-10217
(September 30, 2016) [81 FR 67118].
---------------------------------------------------------------------------
The revisions to the Filer Manual reflect changes within Volume I
entitled EDGAR Filer Manual, Volume I: ``General Information,'' Version
25 (December 2016), and Volume II entitled
[[Page 7646]]
EDGAR Filer Manual, Volume II: ``EDGAR Filing,'' Version 39 (December
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. 33-10217 in which we implemented EDGAR
Release 16.3. For additional history of Filer Manual rules, please
see the citations therein.
---------------------------------------------------------------------------
The EDGAR system will be upgraded to Release 16.4 on December 12,
2016 and will introduce the following changes:
Filers will be able to submit the Municipal Advisor submission form
types MA, MA-A, MA/A, MA-I, MA-I/A, and MA-W in filer-constructed XML
format from the EDGAR Filing Web site. For more information, see the
``EDGAR Form MA XML Technical Specification'' document available on the
SEC's Public Web site (https://www.sec.gov/info/edgar/tech-specs).
Filers will be able to provide up to 200 owners instead of 50
owners for Schedules A-1, A-2, B-1, and B-2 within MA, MA-A, and MA/A
submissions (Schedules A-1, A-2, B-1, and B-2 are amended via Schedule
C for MA-A and MA/A submissions).
EDGAR will be upgraded to allow an entity with any Standard
Industrial Classification (SIC) code value or no value (NULL) to
request the creation of ABS Issuing Entities.
EDGAR will be updated to allow duplicate submissions for ABS-EE.
EDGARLink Online will be updated for ABS-EE and ABS-EE/A
submissions such that non-existent CIKs will be flagged as errors
during header data entry instead of after the submission has been sent
and processed by EDGAR.
The ABS-EE Asset Data schema will be updated to introduce the
following Asset Class Item with date format MM/YYYY:
RMBS ABS Asset Class: Item 1(c)(13)(vi), Most Senior Lien
Origination Date
In addition, the ABS-EE Asset Data schema will be updated to change
the following Asset Class Item from an integer value to a percentage
value:
CMBS ABS Asset Class: Item 2(c)(28)(iv), ARM Margin Number
For more information, see the updated ``EDGAR ABS XML Technical
Specification'' document located on the SEC's Public Web site (https://www.sec.gov/info/edgar/tech-specs).
EDGAR will transform word expressions for numbers, dates, and word
or symbol expressions for QNames and nil expressions into their
respective XML representations in Inline XBRL submissions. Filers will
be able to provide typed dimensions in XBRL submissions. In addition,
the following HTML tags will be usable in traditional XBRL documents:
, , , and .
All ASCII character validations will be removed for broker-dealer
entity name fields on submission form types 17HACON, 17HACON/A,
17HQCON, and 17HQCON/A. Broker-dealers now will be able to submit the
aforementioned filings, irrespective of the ASCII characters in the
broker-dealer entity name.
Filers will be able to shift the order of the uploaded documents,
and simultaneously select/de-select all uploaded documents on the
``Attach Documents List'' screen for the Regulation A submission form
types DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, and 1-K/A.
On October 31, 2016, the EDGAR system was upgraded to Release
16.3.3 and now supports the following changes:
The ABS-EE CMBS Asset Class Item 2(e)(17), ``Payment Status Loan
Code'' associated types were updated to include the value ``0'' for
loan payment status of ``Current''. For more information, see section
4.3.20 of the updated ``EDGAR ABS XML Technical Specification''
document located on the SEC's Public Web site (https://www.sec.gov/info/edgar/tech-specs).
The maximum allowable submission size for form types ABS-EE and
ABS-EE/A was increased to 600 MB.
EDGAR was updated to remove the timeliness rule check, and to no
longer verify if the submission form types NT 10-K, NTN 10K, NT 10-Q,
NTN 10Q, NT 15D2, NTN15D2, NT 10-D, NTN 10D, NT 20-F, and NTN 20F were
submitted before the filing deadline.
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/edmanuals.htm. 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)(A).
\5\ 5 U.S.C. 601-612.
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The effective date for the updated Filer Manual and the rule
amendments is January 23, 2017. 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 16.4 is scheduled to become available on December 12, 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:
[[Page 7647]]
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 25 (December 2016). The requirements for filing
on EDGAR are set forth in the updated EDGAR Filer Manual, Volume II:
``EDGAR Filing,'' Version 39 (December 2016). 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/edmanuals.htm. 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: December 9, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016-32032 Filed 1-19-17; 8:45 am]
BILLING CODE 8011-01-P
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