Adoption of Updated EDGAR Filer Manual, 45434-45436 [2017-20654]
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Federal Register / Vol. 82, No. 188 / Friday, September 29, 2017 / Rules and Regulations
Issued in Washington, DC, on September
26, 2017, by the Commission.
Christopher J. Kirkpatrick,
Secretary of the Commission.
make this rulemaking effective upon
publication in the Federal Register.1
III. Paperwork Reduction Act
The Commission may not conduct or
sponsor, and a respondent is not
required to respond to, a collection of
information contained in a rulemaking
unless the information collection
displays a currently valid control
number issued by the Office of
Management and Budget (‘‘OMB’’)
pursuant to the Paperwork Reduction
Act.2 This rulemaking contains no
collection of information for which the
Commission is obligated to obtain a
control number from OMB.
Note: The following appendix will not
appear in the Code of Federal Regulations.
List of Subjects in 17 CFR Part 38
BILLING CODE 6351–01–P
Commodity futures, Reporting and
recordkeeping requirements.
[Release Nos. 33–10413; 34–81592; 39–
2518; IC–32818]
1. The authority citation for part 38
continues to read as follows:
■
2. In § 38.1051, add paragraph (n)(3)
to read as follows:
■
General requirements.
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*
*
*
*
(n) * * *
(3) Delegation of authority. The
Commission hereby delegates, until it
orders otherwise, to the Director of the
Division of Market Oversight or such
other employee or employees as the
Director may designate from time to
time, the authority to provide each
designated contract market with its
percentage of the total annual trading
volume of all designated contract
markets regulated by the Commission,
as set forth in paragraph (n)(2) of this
section. The Director of the Division of
Market Oversight may submit to the
Commission for its consideration any
matter that has been delegated pursuant
to this section. Nothing in this section
prohibits the Commission, at its
election, from exercising the authority
delegated in this section.
U.S.C. 553(d).
U.S.C. 3501 et seq.
2 44
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Adoption of Updated EDGAR Filer
Manual
Securities and Exchange
Commission.
ACTION: Final rule.
AGENCY:
Authority: 7 U.S.C. 1a, 2, 6, 6a, 6c, 6d, 6e,
6f, 6g, 6i, 6j, 6k, 6l, 6m, 6n, 7, 7a–2, 7b,
7b–1, 7b–3, 8, 9, 15, and 21, as amended by
the Dodd-Frank Wall Street Reform and
Consumer Protection Act, Pub. L. 111–203,
124 Stat. 1376.
15
[FR Doc. 2017–20924 Filed 9–28–17; 8:45 am]
17 CFR Part 232
PART 38—DESIGNATED CONTRACT
MARKETS
*
On this matter, Chairman Giancarlo and
Commissioners Bowen, Quintenz, and
Behnam voted in the affirmative. No
Commissioner voted in the negative.
SECURITIES AND EXCHANGE
COMMISSION
For the reasons stated in the
preamble, the Commodity Futures
Trading Commission amends 17 CFR
part 38 as follows:
§ 38.1051
Appendix to Commission Delegated
Authority Provisions for Designated
Contract Markets’ System Safeguards
Requirements—Commission Voting
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 EDGAR system is
scheduled to be upgraded on September
11, 2017.
DATES: Effective September 29, 2017,
except that amendatory instruction 4 to
§ 232.301 is effective June 1, 2018. The
incorporation by reference of the
EDGAR Filer Manual is approved by the
Director of the Federal Register as of
September 29, 2017.
FOR FURTHER INFORMATION CONTACT: In
the Division of Investment Management,
for questions concerning Forms N–
PORT and N–CEN, contact Heather
Fernandez at (202) 551–6708; in the
Division of Corporation Finance, for
questions concerning Forms S–1, S–3,
S–4, S–8, S–11, F–1, F–3, F–4, 8–K, 10,
10–K, 10–Q, 20–F, and 40–F, contact
Heather Mackintosh at (202) 551–8111;
in the Office of Financial Management,
for questions about negative account
balances, contact Andrew Grimaldi at
(202) 551–7304.
SUPPLEMENTARY INFORMATION: We are
adopting an updated EDGAR Filer
Manual, Volume I and Volume II. The
Filer Manual describes the technical
SUMMARY:
PO 00000
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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 29
(September 2017), and Volume II,
entitled EDGAR Filer Manual, Volume
II: ‘‘EDGAR Filing,’’ Version 43
(September 2017). 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 17.3 on September 11, 2017,
and will introduce the following
changes:
In Release No. 33–10231 (October 13,
2016) [81 FR 81870], the Commission
adopted changes to the reporting
requirements for investment companies.
Among the changes was the adoption of
Form N–PORT, which requires
investment companies to report
information about portfolio holdings
monthly in a structured format. EDGAR
Release 17.3 will provide a pilot
program whereby filers may submit
TEST versions of the following form
types:
• Public Monthly Portfolio
Investments Report on Form N–PORT
(NPORT–P).
• Amended Public Monthly Portfolio
Investments Report on Form N–PORT
(NPORT–P/A).
• Non-Public Monthly Portfolio
Investments Report on Form N–PORT
(NPORT–NP).
• Amended Non-Public Monthly
Portfolio Investments Report on Form
N–PORT (NPORT–NP/A).
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 July 17, 2017. See Release No. 33–10385
(July 6, 2017) [82 FR 35062].
2 See Rule 301 of Regulation S–T (17 CFR
232.301).
3 See Release No. 33–10385 in which we
implemented revisions to reflect EDGAR Release
17.2. For additional history of EDGAR Filer Manual
revisions, please see the citations therein.
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Federal Register / Vol. 82, No. 188 / Friday, September 29, 2017 / Rules and Regulations
• Portfolio Holdings Exhibit to Form
N–PORT (NPORT–EX).
• Amended Portfolio Holdings
Exhibit to Form N–PORT (NPORT–
EX/A).
In Release No. 33–10231 the
Commission also adopted new Form
N–CEN, which will require investment
companies, other than face amount
certificate companies, to provide an
annual report of census-type
information in a structured format.
EDGAR Release 17.3 will permit
investment companies to submit TEST
versions of the following form types:
• Annual Report for Registered
Investment Companies (N–CEN).
• Amendment to Annual Report for
Registered Investment Companies
(N–CEN/A).
• EDGAR Release 17.3 will also
introduce two additional submission
form types:
• Notice under Exchange Act Rule
12b–25 of the inability to timely file
Form N–CEN (NT–NCEN).
• Amendment to Notice under
Exchange Act Rule 12b–25 of the
inability to timely file Form N–CEN
(NT–NCEN/A).
EDGAR will only accept TEST
submissions of form types NPORT–P,
NPORT–P/A, NPORT–NP, NPORT–
NP/A, NPORT–EX, NPORT–EX/A, N–
CEN, and N–CEN/A from September 11,
2017, through December 31, 2017, and
then again from March 1, 2018 until
May 31, 2018. Beginning June 1, 2018,
EDGAR will accept both TEST and LIVE
submissions of form types NPORT–P,
NPORT–P/A, NPORT–NP, NPORT–
NP/A, NPORT–EX, NPORT–EX/A, N–
CEN, and N–CEN/A. The EDGAR Filer
Manual will be revised to provide
instructions for making TEST N–PORT
and N–CEN filings. Corresponding
changes will be made to Chapter 8
(Preparing and Transmitting Online
Submissions) of the EDGAR Filer
Manual, Volume II: ‘‘EDGAR Filing.’’
In Release No. 33–10332 (March 31,
2017) [82 FR 17545] the Commission
made rule and form changes to
effectuate inflation adjustments and
other technical amendments required
under Titles I & III of the JOBS Act.
Among the technical changes was the
revision to Commission forms so that
registrants can designate whether they
are an Emerging Growth Company and
whether they have elected not to use the
extended transition period for
complying with any new or revised
financial accounting standards.
Updates are being made in EDGAR
Release 17.3 so that the same
disclosures can be provided for any coregistrants. The following EDGARLink
Online submission form types will be
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revised to reflect the two fields for each
co-registrant: S–1, S–1/A, S–3, S–3/A,
S–4, S–4/A, S–8, S–11, S–11/A, F–1,
F–1/A, F–3, F–3/A, F–4, F–4/A, 10–12B,
10–12B/A, 10–12G, 10–12G/A, 8–K,
8–K/A, 8–K12B, 8–K12B/A, 8–K12G3,
8–K12G3/A, 8–K15D5, 8–K15D5/A,
10–Q, 10–Q/A, 10–QT, 10–QT/A, 10–K,
10–K/A, 10–KT, 10–KT/A, 20–F, 20–F/
A, 20FR12B, 20FR12B/A, 20FR12G,
20FR12G/A, 40–F, 40–F/A, 40FR12B,
40FR12B/A, 40FR12G, and 40FR12G/A.
Corresponding changes will be made to
Chapter 7 (Preparing and Transmitting
EDGARLink Online Submissions) of the
EDGAR Filer Manual, Volume II:
‘‘EDGAR Filing.’’
The ‘‘Balance Information’’ and
‘‘Account Activity Statement’’ screen of
the EDGAR Filing Web site will be
updated with the following text: ‘‘A
negative balance amount indicates that
money is owed to the SEC and the
account is past due. For more
information on making filing fee
payments, see https://www.sec.gov/
paymentoptions.’’ Corresponding
changes will be made to Chapter 5
(Maintenance of Company Data) of the
EDGAR Filer Manual Volume I:
‘‘General Information.’’
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
a.m. and 3 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 September 29, 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 17.3 is scheduled to become
available on September 11, 2017. 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. 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. The amendment to § 232.301
published November 18, 2016 (81 FR
82019) is withdrawn.
■ 3. Effective September 29, 2017,
§ 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 fort 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 29 (September
2017). The requirements for filing on
EDGAR are set forth in the updated
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)(A).
5 5 U.S.C. 601–612.
6 5 U.S.C. 553(d)(3).
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Federal Register / Vol. 82, No. 188 / Friday, September 29, 2017 / Rules and Regulations
EDGAR Filer Manual, Volume II:
‘‘EDGAR Filing,’’ Version 43 (September
2017). Additional provisions applicable
to Form N–SAR filers are set forth in the
EDGAR Filer Manual, Volume III: ‘‘N–
SAR Supplement,’’ Version 6 (January
2017). 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/cfr/
ibr-locations.html.
§ 232.301
[Amended]
4. Effective June 1, 2018, amend
§ 232.301 by removing the fourth
sentence.
■
By the Commission.
Dated: September 13, 2017.
Brent J. Fields,
Secretary.
[FR Doc. 2017–20654 Filed 9–28–17; 8:45 am]
BILLING CODE 8011–01–P
DEPARTMENT OF JUSTICE
Drug Enforcement Administration
21 CFR Part 1308
[Docket No. DEA–468]
Schedules of Controlled Substances:
Removal of Naldemedine From Control
Drug Enforcement
Administration, Department of Justice.
ACTION: Final rule.
asabaliauskas on DSKBBXCHB2PROD with RULES
AGENCY:
With the issuance of this final
rule, the Drug Enforcement
Administration removes the substance
naldemedine (4R,4aS,7aR,12bS)-3(cyclopropylmethyl)-4a,7,9-trihydroxyN-(2-(3-phenyl-1,2,4-oxadiazol-5yl)propan-2-yl)-2,3,4,4a,5,7a-hexahydro1H-4,12-methanobenzofuro[3,2-
SUMMARY:
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16:55 Sep 28, 2017
Jkt 241001
e]isoquinoline-6-carboxamide)
including its salts from the schedules of
the Controlled Substances Act. Prior to
the effective date of this rule,
naldemedine was a schedule II
controlled substance because it can be
derived from opium alkaloids. This
action removes the regulatory controls
and administrative, civil, and criminal
sanctions applicable to controlled
substances, including those specific to
schedule II controlled substances, on
persons who handle (manufacture,
distribute, reverse distribute, dispense,
conduct research, import, export, or
conduct chemical analysis) or propose
to handle naldemedine.
DATES: The effective date of this rule is
September 29, 2017.
FOR FURTHER INFORMATION CONTACT:
Michael J. Lewis, Diversion Control
Division, Drug Enforcement
Administration; Mailing Address: 8701
Morrissette Drive, Springfield, Virginia
22152; Telephone: (202) 598–6812.
SUPPLEMENTARY INFORMATION:
Legal Authority
Pursuant to 21 U.S.C. 811(a)(2), the
Attorney General may, by rule, ‘‘remove
any drug or other substance from the
schedules if he finds that the drug or
other substance does not meet the
requirements for inclusion in any
schedule.’’ The Attorney General has
delegated scheduling authority under 21
U.S.C. 811 to the Administrator of the
Drug Enforcement Administration
(DEA). 28 CFR 0.100.
The Controlled Substances Act (CSA)
provides that proceedings for the
issuance, amendment, or repeal of the
scheduling of any drug or other
substance may be initiated by the
Attorney General (1) on his own motion,
(2) at the request of the Secretary of the
Department of Health and Human
Services (HHS) 1, or (3) on the petition
of any interested party. 21 U.S.C. 811(a).
This action was initiated at the request
of the Acting Assistant Secretary for
Health of the HHS and by a petition by
the drug sponsor to DEA to remove
naldemedine from the list of scheduled
controlled substances of the CSA, and is
supported by, inter alia, a
recommendation from the Assistant
Secretary of the HHS and an evaluation
1 As set forth in a memorandum of understanding
entered into by the HHS, the Food and Drug
Administration (FDA), and the National Institute on
Drug Abuse (NIDA), the FDA acts as the lead agency
within the HHS in carrying out the Secretary’s
scheduling responsibilities under the CSA, with the
concurrence of the NIDA. 50 FR 9518, Mar. 8, 1985.
The Secretary of the HHS has delegated to the
Assistant Secretary for Health of the HHS the
authority to make domestic drug scheduling
recommendations. 58 FR 35460, July 1, 1993.
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Fmt 4700
Sfmt 4700
of all relevant data by the DEA. This
action removes the regulatory controls
and administrative, civil, and criminal
sanctions applicable to controlled
substances, including those specific to
schedule II controlled substances, on
persons who handle or propose to
handle naldemedine.
Background
Naldemedine, known chemically as
(4R,4aS,7aR,12bS)-3(cyclopropylmethyl)-4a,7,9-trihydroxyN-(2-(3-phenyl-1,2,4-oxadiazol-5yl)propan-2-yl)-2,3,4,4a,5,7a-hexahydro1H-4,12-methanobenzofuro[3,2e]isoquinoline-6-carboxamide, is an
opium alkaloid derivative. Naldemedine
is a high-affinity antagonist at the mu,
kappa, and delta opioid receptors. On
March 23, 2016, a new drug application
(NDA) was submitted by Shionogi Inc.
(Sponsor) to the Food and Drug
Administration (FDA) for approval of
naldemedine for the treatment of opioid
induced constipation in patients with
chronic non-cancer pain. The FDA
approved naldemedine for marketing on
March 23, 2017, under the trade name
Symproic® (0.2 mg tablets).2
Naldemedine is indicated for the
treatment of opioid-induced
constipation (OIC) in adults with
chronic non-cancer pain. Opioidinduced constipation is caused by an
activation of mu-opioid receptors in the
gastrointestinal tract. Naldemedine, a
peripheral acting mu-opioid antagonist,
can prevent OIC.
DEA and HHS Eight Factor Analyses
On June 8, 2016, the DEA received a
petition from the drug sponsor
requesting that the DEA amend 21 CFR
1308.12(b)(1) to exclude naldemedine as
a schedule II substance from the
Controlled Substances Act (CSA). The
petitioner stated that naldemedine is a
potent peripherally acting mu-opioid
receptor antagonist. In accordance with
21 CFR 1308.43(c), the DEA accepted
the petition for filing on August 5, 2016.
On March 22, 2017, the HHS provided
the DEA with a scientific and medical
evaluation document prepared by the
FDA entitled ‘‘Basis for the
Recommendation to Decontrol
Naldemedine and its Salts from the
Controlled Substances Act.’’ After
considering the eight factors in 21
U.S.C. 811(c), including consideration
of the substance’s abuse potential,
legitimate medical use, and dependence
liability, the Assistant Secretary of the
HHS recommended that naldemedine
2 https://www.accessdata.fda.gov/drugsatfda_
docs/appletter/2017/208854Orig1s000ltr.pdf (last
accessed 04/13/2017).
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]]>Agencies
[Federal Register Volume 82, Number 188 (Friday, September 29, 2017)]
[Rules and Regulations]
[Pages 45434-45436]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-20654]
=======================================================================
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
17 CFR Part 232
[Release Nos. 33-10413; 34-81592; 39-2518; IC-32818]
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 EDGAR system is scheduled to be
upgraded on September 11, 2017.
DATES: Effective September 29, 2017, except that amendatory instruction
4 to Sec. 232.301 is effective June 1, 2018. The incorporation by
reference of the EDGAR Filer Manual is approved by the Director of the
Federal Register as of September 29, 2017.
FOR FURTHER INFORMATION CONTACT: In the Division of Investment
Management, for questions concerning Forms N-PORT and N-CEN, contact
Heather Fernandez at (202) 551-6708; in the Division of Corporation
Finance, for questions concerning Forms S-1, S-3, S-4, S-8, S-11, F-1,
F-3, F-4, 8-K, 10, 10-K, 10-Q, 20-F, and 40-F, contact Heather
Mackintosh at (202) 551-8111; in the Office of Financial Management,
for questions about negative account balances, contact Andrew Grimaldi
at (202) 551-7304.
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 July 17, 2017. See Release No. 33-10385 (July 6,
2017) [82 FR 35062].
---------------------------------------------------------------------------
The revisions to the Filer Manual reflect changes within Volume I,
entitled EDGAR Filer Manual, Volume I: ``General Information,'' Version
29 (September 2017), and Volume II, entitled EDGAR Filer Manual, Volume
II: ``EDGAR Filing,'' Version 43 (September 2017). 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. 33-10385 in which we implemented revisions
to reflect EDGAR Release 17.2. For additional history of EDGAR Filer
Manual revisions, please see the citations therein.
---------------------------------------------------------------------------
The EDGAR system will be upgraded to Release 17.3 on September 11,
2017, and will introduce the following changes:
In Release No. 33-10231 (October 13, 2016) [81 FR 81870], the
Commission adopted changes to the reporting requirements for investment
companies. Among the changes was the adoption of Form N-PORT, which
requires investment companies to report information about portfolio
holdings monthly in a structured format. EDGAR Release 17.3 will
provide a pilot program whereby filers may submit TEST versions of the
following form types:
Public Monthly Portfolio Investments Report on Form N-PORT
(NPORT-P).
Amended Public Monthly Portfolio Investments Report on
Form N-PORT (NPORT-P/A).
Non-Public Monthly Portfolio Investments Report on Form N-
PORT (NPORT-NP).
Amended Non-Public Monthly Portfolio Investments Report on
Form N-PORT (NPORT-NP/A).
[[Page 45435]]
Portfolio Holdings Exhibit to Form N-PORT (NPORT-EX).
Amended Portfolio Holdings Exhibit to Form N-PORT (NPORT-
EX/A).
In Release No. 33-10231 the Commission also adopted new Form N-CEN,
which will require investment companies, other than face amount
certificate companies, to provide an annual report of census-type
information in a structured format. EDGAR Release 17.3 will permit
investment companies to submit TEST versions of the following form
types:
Annual Report for Registered Investment Companies (N-CEN).
Amendment to Annual Report for Registered Investment
Companies (N-CEN/A).
EDGAR Release 17.3 will also introduce two additional
submission form types:
Notice under Exchange Act Rule 12b-25 of the inability to
timely file Form N-CEN (NT-NCEN).
Amendment to Notice under Exchange Act Rule 12b-25 of the
inability to timely file Form N-CEN (NT-NCEN/A).
EDGAR will only accept TEST submissions of form types NPORT-P,
NPORT-P/A, NPORT-NP, NPORT- NP/A, NPORT-EX, NPORT-EX/A, N-CEN, and N-
CEN/A from September 11, 2017, through December 31, 2017, and then
again from March 1, 2018 until May 31, 2018. Beginning June 1, 2018,
EDGAR will accept both TEST and LIVE submissions of form types NPORT-P,
NPORT-P/A, NPORT-NP, NPORT- NP/A, NPORT-EX, NPORT-EX/A, N-CEN, and N-
CEN/A. The EDGAR Filer Manual will be revised to provide instructions
for making TEST N-PORT and N-CEN filings. Corresponding changes will be
made to Chapter 8 (Preparing and Transmitting Online Submissions) of
the EDGAR Filer Manual, Volume II: ``EDGAR Filing.''
In Release No. 33-10332 (March 31, 2017) [82 FR 17545] the
Commission made rule and form changes to effectuate inflation
adjustments and other technical amendments required under Titles I &
III of the JOBS Act. Among the technical changes was the revision to
Commission forms so that registrants can designate whether they are an
Emerging Growth Company and whether they have elected not to use the
extended transition period for complying with any new or revised
financial accounting standards.
Updates are being made in EDGAR Release 17.3 so that the same
disclosures can be provided for any co-registrants. The following
EDGARLink Online submission form types will be revised to reflect the
two fields for each co-registrant: S-1, S-1/A, S-3, S-3/A, S-4, S-4/A,
S-8, S-11, S-11/A, F-1, F-1/A, F-3, F-3/A, F-4, F-4/A, 10-12B, 10-12B/
A, 10-12G, 10-12G/A, 8-K, 8-K/A, 8-K12B, 8-K12B/A, 8-K12G3, 8-K12G3/A,
8-K15D5, 8-K15D5/A, 10-Q, 10-Q/A, 10-QT, 10-QT/A, 10-K, 10-K/A, 10-KT,
10-KT/A, 20-F, 20-F/A, 20FR12B, 20FR12B/A, 20FR12G, 20FR12G/A, 40-F,
40-F/A, 40FR12B, 40FR12B/A, 40FR12G, and 40FR12G/A. Corresponding
changes will be made to Chapter 7 (Preparing and Transmitting EDGARLink
Online Submissions) of the EDGAR Filer Manual, Volume II: ``EDGAR
Filing.''
The ``Balance Information'' and ``Account Activity Statement''
screen of the EDGAR Filing Web site will be updated with the following
text: ``A negative balance amount indicates that money is owed to the
SEC and the account is past due. For more information on making filing
fee payments, see https://www.sec.gov/paymentoptions.'' Corresponding
changes will be made to Chapter 5 (Maintenance of Company Data) of the
EDGAR Filer Manual Volume I: ``General Information.''
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
a.m. and 3 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 September 29, 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 17.3 is scheduled to become available on September 11, 2017.
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. 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. The amendment to Sec. 232.301 published November 18, 2016 (81 FR
82019) is withdrawn.
0
3. Effective September 29, 2017, Sec. 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 fort
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 29 (September 2017). The requirements for filing
on EDGAR are set forth in the updated
[[Page 45436]]
EDGAR Filer Manual, Volume II: ``EDGAR Filing,'' Version 43 (September
2017). Additional provisions applicable to Form N-SAR filers are set
forth in the EDGAR Filer Manual, Volume III: ``N-SAR Supplement,''
Version 6 (January 2017). 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/cfr/ibr-locations.html.
Sec. 232.301 [Amended]
0
4. Effective June 1, 2018, amend Sec. 232.301 by removing the fourth
sentence.
By the Commission.
Dated: September 13, 2017.
Brent J. Fields,
Secretary.
[FR Doc. 2017-20654 Filed 9-28-17; 8:45 am]
BILLING CODE 8011-01-P
