Adoption of Updated EDGAR Filer Manual, 40308-40310 [2021-15317]

Download as PDF 40308 Federal Register / Vol. 86, No. 142 / Wednesday, July 28, 2021 / Rules and Regulations khammond on DSKJM1Z7X2PROD with RULES surface and IFR arrivals descending below 1,500 feet above the surface. To properly contain arriving and departing IFR aircraft, the radius south of the airport is reduced from 6.9 miles to 5 miles. The radius north of the airport is increased from 6.9 miles to 7.3 miles. Also, the area extending north of the airport is increased to properly contain IFR aircraft performing a procedure turn maneuver for the NDB–A Approach. This action also removes the Class E airspace extending upward from 1,200 feet above the surface. This airspace area is wholly contained within the Denver en route airspace and duplication is not necessary. Further, this action removes the Saratoga NDB and the Cherokee VOR/ DME from the Class E5’s text header and airspace description. The navigational aids (NAVAIDs) are not needed to define the airspace and removal of the NAVAIDs simplifies the airspace description. Lastly, the action implements several administrative updates to the airspace text header. The city name is removed from the second line of the text header, and the airport’s geographic coordinates on the third line of the text header are updated to ‘‘lat. 41°26′37″ N, long. 106°49′39″ W,’’ to match the FAA database. FAA Order 7400.11, Airspace Designations and Reporting Points, is published yearly and effective on September 15. Regulatory Notices and Analyses The FAA has determined that this regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current, is non-controversial, and unlikely to result in adverse or negative comments. It, therefore: (1) Is not a ‘‘significant regulatory action’’ under Executive Order 12866; (2) is not a ‘‘significant rule’’ under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a regulatory evaluation as the anticipated impact is so minimal. Since this is a routine matter that will only affect air traffic procedures and air navigation, it is certified that this rule, when promulgated, would not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act. Environmental Review The FAA has determined that this action qualifies for categorical exclusion under the National Environmental VerDate Sep<11>2014 16:30 Jul 27, 2021 Jkt 253001 Policy Act in accordance with FAA Order 1050.1F, ‘‘Environmental Impacts: Policies and Procedures,’’ paragraph 5–6.5a. This airspace action is not expected to cause any potentially significant environmental impacts, and no extraordinary circumstances exist that warrant the preparation of an environmental assessment. List of Subjects in 14 CFR Part 71 SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 232 [Release Nos. 33–10948; 34–92216; 39– 2539; IC–34304] Adoption of Updated EDGAR Filer Manual Airspace, Incorporation by reference, Navigation (air). Securities and Exchange Commission. ACTION: Final rule. Adoption of the Amendment SUMMARY: In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR part 71 as follows: PART 71—DESIGNATION OF CLASS A, B, C, D, AND E AIRSPACE AREAS; AIR TRAFFIC SERVICE ROUTES; AND REPORTING POINTS 1. The authority citation for 14 CFR part 71 continues to read as follows: ■ Authority: 49 U.S.C. 106(f), 106(g), 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959–1963 Comp., p. 389. § 71.1 [Amended] 2. The incorporation by reference in 14 CFR 71.1 of FAA Order 7400.11E, Airspace Designations and Reporting Points, dated July 21, 2020, and effective September 15, 2020, is amended as follows: ■ Paragraph 6005 Class E Airspace Areas Extending Upward from 700 feet or more above the Surface of the Earth. * * * ANM WY E5 * * Saratoga, WY [Amended] Shively Field Airport, WY (Lat. 41°26′37″ N, long. 106°49′39″ W) That airspace extending upward from 700 feet above the surface within a 5-mile radius of the airport beginning at the 075° bearing from the airport clockwise to the 234° bearing from the airport, and within a 7.3-mile radius of the airport beginning at the 234° bearing from the airport clockwise to the 075° bearing from the airport, and within 4 miles east and 8 miles west of the 341° bearing from the airport, extending from the 7.3-miles radius to 16.1 miles north of the airport. Issued in Des Moines, Washington, on July 22, 2021. Maria A. Aviles, Acting Group Manager, Operations Support Group, Western Service Center. [FR Doc. 2021–15988 Filed 7–27–21; 8:45 am] BILLING CODE 4910–13–P PO 00000 Frm 00010 Fmt 4700 Sfmt 4700 AGENCY: The Securities and Exchange Commission (the ‘‘Commission’’) is adopting amendments to Volumes I and II of the Electronic Data Gathering, Analysis, and Retrieval system (‘‘EDGAR’’) Filer Manual (‘‘EDGAR Filer Manual’’ or ‘‘Filer Manual’’) and related rules. The EDGAR system was upgraded on June 18, 2021. DATES: Effective date: July 28, 2021. Incorporation by reference: The incorporation by reference of the EDGAR Filer Manual is approved by the Director as of July 28, 2021. FOR FURTHER INFORMATION CONTACT: For questions regarding the amendments to Volumes I and II of the Filer Manual and related rules, please contact Rosemary Filou, Chief Counsel, or Jane Patterson, Senior Counsel, in the EDGAR Business Office at (202) 551– 3900. For questions concerning Form N–CEN updates, please contact Heather Fernandez in the Division of Investment Management at (202) 551–6708. For questions concerning the changes to Forms S–1, S–3, F–1 and F–3, please contact Chris Windsor, Senior Special Counsel in the Division of Corporation Finance at (202) 551–3419. For questions concerning the XBRL submissions, please contact the Office of Structured Disclosure in the Division of Economic and Risk Analysis at (202) 551–5494. SUPPLEMENTARY INFORMATION: We are adopting an updated EDGAR Filer Manual, Volume I: ‘‘General Information,’’ Version 38 (June 2021) and Volume II: ‘‘EDGAR Filing,’’ Version 58 (June 2021). The updated Filer Manual volumes are incorporated by reference into the Code of Federal Regulations. I. Background The Filer Manual contains technical specifications needed for filers to make submissions on EDGAR. Filers must comply with the applicable provisions of the Filer Manual in order to assure the timely acceptance and processing of E:\FR\FM\28JYR1.SGM 28JYR1 Federal Register / Vol. 86, No. 142 / Wednesday, July 28, 2021 / Rules and Regulations filings made in electronic format.1 Filers should consult the Filer Manual in conjunction with our rules governing mandated electronic filings when preparing documents for electronic submission. khammond on DSKJM1Z7X2PROD with RULES II. Amendments to Volumes I of the Filer Manual The EDGAR System was updated in Release 21.2 and the following update is being made to Volume I of the EDGAR Filer Manual. Volume I of the EDGAR Filer Manual sets forth the requirements, among other things, for securely maintaining EDGAR access codes, maintaining current company information in EDGAR, and obtaining a new passphrase—the access code that allows a filer to reset other codes—when the passphrase is lost or compromised. A filer who has lost their passphrase may reset it by requesting a security token be sent to the contact email address on record for the account. Individuals frequently contact the Commission, however, indicating they represent the filer but do not have EDGAR access codes, and the contact email on file is not current. Volume I allows these filers to regain access to their EDGAR account through a ‘‘manual passphrase’’ request. The Commission staff attempts to carefully screen these requests, and Volume I is being amended to add requirements to enable Commission staff to more effectively assess manual passphrase requests. The amendments will require filers to upload specified supporting documentation to demonstrate the relationships between the entity requesting access and the existing EDGAR account, and the entity requesting access and the individual acting for that entity. Filers seeking access to an existing EDGAR account for which they have neither the access codes nor the current contact email address would be required to submit documents with the request for access, and additional documents as requested by SEC staff. The amendments will also provide that filers seeking access under this process must allow at least five (5) business days for processing of the request, and must respond to requests from SEC staff for additional information and documents. III. Edgar System Changes and Associated Modifications to Volume II of the Edgar Filer Manual EDGAR is being updated in Release 21.2, and was previously updated in 21.1.3, and corresponding amendments 1 See Rule 301. VerDate Sep<11>2014 16:30 Jul 27, 2021 Jkt 253001 to Volume II of the Filer Manual are being made to reflect these changes, as described below.2 On April 8, 2020, the Commission amended Forms S–1, S–3, F–1 and F– 3 to enable issuers of Exchange Traded Vehicle Securities to register an indeterminate number of shares and to pay fees annually based on net issuances, or to register a fixed amount of the securities and pay the associated fees.3 EDGAR Release 21.2 updates submission form types S–1, S1/A, S–3, S–3/A, F–1, F–1/A, F–3 and F–3/A to include ‘‘Exchange Traded Vehicle Securities’’ as a new security type. See Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions) of the EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing.’’ On October 7, 2020, the Commission adopted new rules and amended existing rules and forms to create a comprehensive regulatory framework for fund of funds arrangements.4 As part of the new rule, Release 21.2 updates submission form types N–CEN and N– CENA to include updated form content and adds two new questions on the form types related to unit investment trusts in Part F., and to management companies in Part C. See Chapter 8 (Preparing and Transmitting Online Submissions) of the EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing.’’ Also, the following updates will be made to Volume II of EDGAR Filer Manual: Updates to technical instructions will be added to support filers with constructing attached documents and document types and interactive data. See Chapter 5 (Constructing Attached Documents and Document Types) and Chapter 6 (Interactive Data) of the EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing.’’ The EDGAR Frequently Asked Questions (FAQ) screens of the EDGAR Filing website and the EDGAR Filer Management website will be updated to remove the ‘‘EDGAR Quick Reference Guides’’ hyperlink.5 See Appendix B (Frequently Asked Questions) of the EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing.’’ EDGAR Release 21.1.3 also introduced the following software 2 EDGAR Release 21.2 will be deployed on or about June 21, 2021. EDGAR Release 21.1.3 was deployed on May 7, 2021. 3 See Securities Offering Reform for Closed End Investment Companies, Release 33–10771 (Apr. 8, 2020) [85 FR 33290 (June 1, 2020)]. 4 See Fund of Fund Arrangements, Release No. 33–10871 (Oct. 7, 2020) [85 FR 73924 (Nov. 19, 2020)]. 5 The ‘‘EDGAR Quick Reference Guide’’ was removed from Volume I of the EDGAR Filer Manual in Release 20.4. PO 00000 Frm 00011 Fmt 4700 Sfmt 4700 40309 changes and the Filer Manual is being revised accordingly: • In accordance with Release 33– 10884,6 submission form types C, C/A, and C–U were updated to increase the offering limit from $1,070,000 to $5,000,000. Filers can specify up to $5,000,000 for the Target Offering Amount and Maximum Offering Amount. See Chapter 8 (Preparing and Transmitting Online Submissions) of the EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing.’’ • In Release 33–10231,7 the Commission rescinded Forms N–Q and N–SAR. Accordingly, effective May 10, 2021, Release 21.1.3 modified EDGAR to no longer accept the following form types: N–Q, N–Q/A, NSAR–A, NSAR– A/A, NSAR–AT, NSAR–AT/A, NSAR– B, NSAR–B/A, NSAR–BT, NSAR–BT/A, NSAR–U, NSAR–U/A, NT–NSAR, and NT–NSAR/A. See Chapter 3 (Index to Forms), Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions), Appendix C (EDGAR Submission Types), and Appendix E (Automated Conformance Rules for EDGAR Data Fields) of the EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing.’’ Additional update and minor corrections made to the EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing’’ include: • Updates to instructions for filing Form X–17A–5 Part III noting the staff of the Division of Trading and Markets’ temporary conditional no-action position for broker-dealers that are unable to obtain notarization services due to difficulties arising from COVID– 19. See Section 8.2.20 of Chapter 8 (Preparing and Transmitting Online Submissions). • Correction of the title ‘‘EDGAR TA XML Technical Specification.’’ See Chapter 3 (Index to Forms). • Replacement of Figure 8–188: ‘‘Signature Screen for submission form type X–17A–5.’’ • Updates to references to ‘‘Convert Paper Only Filer to Electronic Filer’’ to ‘‘Apply for EDGAR Access: Applicants With a CIK but Without EDGAR Access Codes.’’ 8 6 See Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets, Release 33– 10884 (Nov. 2, 2020) [86 FR 3496 (Jan. 14, 2021)]. 7 See Investment Company Reporting Modernization, Release 33–10231 (Oct. 13, 2016) [81 FR 81870 (Nov. 18, 2016)]. 8 Starting June 25, 2021, applicants for EDGAR access who previously used the ‘‘Convert Paper Only Filer to Electronic Filer’’ process would now be required to submit the Form ID and an authenticating document to apply for access to file on EDGAR. See Adoption of Updated EDGAR Filer Manual, Form ID Amendments, Release No. 33– 10935 [86 FR 25803]. E:\FR\FM\28JYR1.SGM 28JYR1 40310 Federal Register / Vol. 86, No. 142 / Wednesday, July 28, 2021 / Rules and Regulations EDGAR Release 21.2 also introduces additional changes in EDGAR that do not require corresponding amendments to the Filer Manual. See the ‘‘Updates’’ section of Volume II of the EDGAR Filer Manual, Volume II: ‘‘EDGAR Filing.’’ IV. Amendments to Rule 301 of Regulation S–T Along with the adoption of the updated 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 the current 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 is available at https://www.sec.gov/edgar/ filer-information/current-edgar-filermanual. Typically, the EDGAR Filer Manual is also available for website viewing and printing in the Commission’s Public Reference Room, 100 F Street NE, Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Due to pandemic conditions, however, access to the Commission’s Public Reference Room is not permitted at this time. khammond on DSKJM1Z7X2PROD with RULES V. Administrative Law Matters Securities Act of 1933,13 Sections 3, 12, 13, 14, 15, 15B, 23, and 35A of the Securities Exchange Act of 1934,14 Section 319 of the Trust Indenture Act of 1939,15 and Sections 8, 30, 31, and 38 of the Investment Company Act of 1940.16 List of Subjects in 17 CFR Part 232 Incorporation by reference, Reporting and recordkeeping requirements, Securities. Text of the Amendments 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, 7201 et seq.; and 18 U.S.C. 1350, unless otherwise noted. 2. Section 232.301 is revised to read as follows: ■ § 232.301 EDGAR Filer Manual. 13 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a). 14 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78o–4, 78w, and 78ll. 15 15 U.S.C. 77 sss. 16 15 U.S.C. 80a–8, 80a–29, 80a–30, and 80a–37. U.S.C. 553(b)(A). U.S.C. 601–612. 11 5 U.S.C. 804(3)(C). 12 5 U.S.C. 553(d)(3). 10 5 VerDate Sep<11>2014 16:30 Jul 27, 2021 Jkt 253001 By the Commission. Dated: June 21, 2021. J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2021–15317 Filed 7–27–21; 8:45 am] BILLING CODE 8011–01–P ■ Filers must prepare electronic filings Because the Filer Manual, and form in the manner prescribed by the EDGAR and rule amendments, relate solely to Filer Manual, promulgated by the agency procedures or practice and do Commission, which sets forth the not substantially alter the rights and technical formatting requirements for obligations of non-agency parties, electronic submissions. The publication for notice and comment is requirements for becoming an EDGAR not required under the Administrative Filer and updating company data are set Procedure Act (‘‘APA’’).9 It follows that forth in the updated EDGAR Filer the amendments do not require analysis Manual, Volume I: ‘‘General under requirements of the Regulatory Information,’’ Version 38 (June 2021). Flexibility Act 10 or a report to Congress The requirements for filing on EDGAR under the Small Business Regulatory are set forth in the updated EDGAR Filer Fairness Act.11 Manual, Volume II: ‘‘EDGAR Filing,’’ The effective date for the updated Version 58 (June 2021). All of these Filer Manual and related rule provisions have been incorporated by amendments is July 28, 2021. In reference into the Code of Federal accordance with the APA,12 we find that Regulations, which action was approved there is good cause to establish an by the Director of the Federal Register effective date less than 30 days after in accordance with 5 U.S.C. 552(a) and publication of these rules. The 1 CFR part 51. You must comply with Commission believes that establishing these requirements in order for an effective date less than 30 days after documents to be timely received and publication of these rules is necessary to accepted. The EDGAR Filer Manual is coordinate the effectiveness of the available at https://www.sec.gov/edgar/ updated Filer Manual with the related filer-information/current-edgar-filersystem upgrades. manual. Typically, the EDGAR Filer Manual is also available for website VI. Statutory Basis viewing and printing in the We are adopting the amendments to Commission’s Public Reference Room, Regulation S–T under the authority in 100 F Street NE, Washington, DC 20549, Sections 6, 7, 8, 10, and 19(a) of the 95 on official business days between the hours of 10 a.m. and 3 p.m. Due to pandemic conditions, however, access to the Commission’s Public Reference Room is not permitted at this time. You can also inspect the document at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, email fedreg.legal@ nara.gov, or go to: https:// www.archives.gov/federal-register/cfr/ ibr-locations.html. PO 00000 Frm 00012 Fmt 4700 Sfmt 4700 DEPARTMENT OF THE TREASURY Office of Foreign Assets Control 31 CFR Part 589 Publication of Ukraine-Related Web General License 15 and Subsequent Iterations Office of Foreign Assets Control, Treasury. ACTION: Publication of web general licenses. AGENCY: The Department of the Treasury’s Office of Foreign Assets Control (OFAC) is publishing 11 Ukraine-related web general licenses (GLs) in the Federal Register: GL 15, GL 15A, GL 15B, GL 15C, GL 15D, GL 15E, GL 15F, GL 15G, GL 15H, and GL 15I, each of which is now expired and was previously issued on OFAC’s website, as well as GL 15J, which was also previously issued on OFAC’s website and expires on January 26, 2022. DATES: GL 15J was issued on December 23, 2020 and expires on January 26, 2022. See SUPPLEMENTARY INFORMATION of this rule for additional relevant dates. FOR FURTHER INFORMATION CONTACT: OFAC: Assistant Director for Licensing, 202–622–2480; Assistant Director for Regulatory Affairs, 202–622–4855; or Assistant Director for Sanctions Compliance & Evaluation, 202–622– 2490. SUMMARY: SUPPLEMENTARY INFORMATION: Electronic Availability This document and additional information concerning OFAC are available on OFAC’s website: www.treasury.gov/ofac. E:\FR\FM\28JYR1.SGM 28JYR1

Agencies

[Federal Register Volume 86, Number 142 (Wednesday, July 28, 2021)]
[Rules and Regulations]
[Pages 40308-40310]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-15317]


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SECURITIES AND EXCHANGE COMMISSION

17 CFR Parts 232

[Release Nos. 33-10948; 34-92216; 39-2539; IC-34304]


Adoption of Updated EDGAR Filer Manual

AGENCY: Securities and Exchange Commission.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: The Securities and Exchange Commission (the ``Commission'') is 
adopting amendments to Volumes I and II of the Electronic Data 
Gathering, Analysis, and Retrieval system (``EDGAR'') Filer Manual 
(``EDGAR Filer Manual'' or ``Filer Manual'') and related rules. The 
EDGAR system was upgraded on June 18, 2021.

DATES: 
    Effective date: July 28, 2021.
    Incorporation by reference: The incorporation by reference of the 
EDGAR Filer Manual is approved by the Director as of July 28, 2021.

FOR FURTHER INFORMATION CONTACT: For questions regarding the amendments 
to Volumes I and II of the Filer Manual and related rules, please 
contact Rosemary Filou, Chief Counsel, or Jane Patterson, Senior 
Counsel, in the EDGAR Business Office at (202) 551-3900. For questions 
concerning Form N-CEN updates, please contact Heather Fernandez in the 
Division of Investment Management at (202) 551-6708. For questions 
concerning the changes to Forms S-1, S-3, F-1 and F-3, please contact 
Chris Windsor, Senior Special Counsel in the Division of Corporation 
Finance at (202) 551-3419. For questions concerning the XBRL 
submissions, please contact the Office of Structured Disclosure in the 
Division of Economic and Risk Analysis at (202) 551-5494.

SUPPLEMENTARY INFORMATION: We are adopting an updated EDGAR Filer 
Manual, Volume I: ``General Information,'' Version 38 (June 2021) and 
Volume II: ``EDGAR Filing,'' Version 58 (June 2021). The updated Filer 
Manual volumes are incorporated by reference into the Code of Federal 
Regulations.

I. Background

    The Filer Manual contains technical specifications needed for 
filers to make submissions on EDGAR. Filers must comply with the 
applicable provisions of the Filer Manual in order to assure the timely 
acceptance and processing of

[[Page 40309]]

filings made in electronic format.\1\ Filers should consult the Filer 
Manual in conjunction with our rules governing mandated electronic 
filings when preparing documents for electronic submission.
---------------------------------------------------------------------------

    \1\ See Rule 301.
---------------------------------------------------------------------------

II. Amendments to Volumes I of the Filer Manual

    The EDGAR System was updated in Release 21.2 and the following 
update is being made to Volume I of the EDGAR Filer Manual.
    Volume I of the EDGAR Filer Manual sets forth the requirements, 
among other things, for securely maintaining EDGAR access codes, 
maintaining current company information in EDGAR, and obtaining a new 
passphrase--the access code that allows a filer to reset other codes--
when the passphrase is lost or compromised. A filer who has lost their 
passphrase may reset it by requesting a security token be sent to the 
contact email address on record for the account. Individuals frequently 
contact the Commission, however, indicating they represent the filer 
but do not have EDGAR access codes, and the contact email on file is 
not current. Volume I allows these filers to regain access to their 
EDGAR account through a ``manual passphrase'' request. The Commission 
staff attempts to carefully screen these requests, and Volume I is 
being amended to add requirements to enable Commission staff to more 
effectively assess manual passphrase requests.
    The amendments will require filers to upload specified supporting 
documentation to demonstrate the relationships between the entity 
requesting access and the existing EDGAR account, and the entity 
requesting access and the individual acting for that entity. Filers 
seeking access to an existing EDGAR account for which they have neither 
the access codes nor the current contact email address would be 
required to submit documents with the request for access, and 
additional documents as requested by SEC staff. The amendments will 
also provide that filers seeking access under this process must allow 
at least five (5) business days for processing of the request, and must 
respond to requests from SEC staff for additional information and 
documents.

III. Edgar System Changes and Associated Modifications to Volume II of 
the Edgar Filer Manual

    EDGAR is being updated in Release 21.2, and was previously updated 
in 21.1.3, and corresponding amendments to Volume II of the Filer 
Manual are being made to reflect these changes, as described below.\2\
---------------------------------------------------------------------------

    \2\ EDGAR Release 21.2 will be deployed on or about June 21, 
2021. EDGAR Release 21.1.3 was deployed on May 7, 2021.
---------------------------------------------------------------------------

    On April 8, 2020, the Commission amended Forms S-1, S-3, F-1 and F-
3 to enable issuers of Exchange Traded Vehicle Securities to register 
an indeterminate number of shares and to pay fees annually based on net 
issuances, or to register a fixed amount of the securities and pay the 
associated fees.\3\ EDGAR Release 21.2 updates submission form types S-
1, S1/A, S-3, S-3/A, F-1, F-1/A, F-3 and F-3/A to include ``Exchange 
Traded Vehicle Securities'' as a new security type. See Chapter 7 
(Preparing and Transmitting EDGARLink Online Submissions) of the EDGAR 
Filer Manual, Volume II: ``EDGAR Filing.''
---------------------------------------------------------------------------

    \3\ See Securities Offering Reform for Closed End Investment 
Companies, Release 33-10771 (Apr. 8, 2020) [85 FR 33290 (June 1, 
2020)].
---------------------------------------------------------------------------

    On October 7, 2020, the Commission adopted new rules and amended 
existing rules and forms to create a comprehensive regulatory framework 
for fund of funds arrangements.\4\ As part of the new rule, Release 
21.2 updates submission form types N-CEN and N-CENA to include updated 
form content and adds two new questions on the form types related to 
unit investment trusts in Part F., and to management companies in Part 
C. See Chapter 8 (Preparing and Transmitting Online Submissions) of the 
EDGAR Filer Manual, Volume II: ``EDGAR Filing.''
---------------------------------------------------------------------------

    \4\ See Fund of Fund Arrangements, Release No. 33-10871 (Oct. 7, 
2020) [85 FR 73924 (Nov. 19, 2020)].
---------------------------------------------------------------------------

    Also, the following updates will be made to Volume II of EDGAR 
Filer Manual:
    Updates to technical instructions will be added to support filers 
with constructing attached documents and document types and interactive 
data. See Chapter 5 (Constructing Attached Documents and Document 
Types) and Chapter 6 (Interactive Data) of the EDGAR Filer Manual, 
Volume II: ``EDGAR Filing.''
    The EDGAR Frequently Asked Questions (FAQ) screens of the EDGAR 
Filing website and the EDGAR Filer Management website will be updated 
to remove the ``EDGAR Quick Reference Guides'' hyperlink.\5\ See 
Appendix B (Frequently Asked Questions) of the EDGAR Filer Manual, 
Volume II: ``EDGAR Filing.''
---------------------------------------------------------------------------

    \5\ The ``EDGAR Quick Reference Guide'' was removed from Volume 
I of the EDGAR Filer Manual in Release 20.4.
---------------------------------------------------------------------------

    EDGAR Release 21.1.3 also introduced the following software changes 
and the Filer Manual is being revised accordingly:
     In accordance with Release 33-10884,\6\ submission form 
types C, C/A, and C-U were updated to increase the offering limit from 
$1,070,000 to $5,000,000. Filers can specify up to $5,000,000 for the 
Target Offering Amount and Maximum Offering Amount. See Chapter 8 
(Preparing and Transmitting Online Submissions) of the EDGAR Filer 
Manual, Volume II: ``EDGAR Filing.''
---------------------------------------------------------------------------

    \6\ See Facilitating Capital Formation and Expanding Investment 
Opportunities by Improving Access to Capital in Private Markets, 
Release 33-10884 (Nov. 2, 2020) [86 FR 3496 (Jan. 14, 2021)].
---------------------------------------------------------------------------

     In Release 33-10231,\7\ the Commission rescinded Forms N-Q 
and N-SAR. Accordingly, effective May 10, 2021, Release 21.1.3 modified 
EDGAR to no longer accept the following form types: N-Q, N-Q/A, NSAR-A, 
NSAR-A/A, NSAR-AT, NSAR-AT/A, NSAR-B, NSAR-B/A, NSAR-BT, NSAR-BT/A, 
NSAR-U, NSAR-U/A, NT-NSAR, and NT-NSAR/A. See Chapter 3 (Index to 
Forms), Chapter 7 (Preparing and Transmitting EDGARLink Online 
Submissions), Appendix C (EDGAR Submission Types), and Appendix E 
(Automated Conformance Rules for EDGAR Data Fields) of the EDGAR Filer 
Manual, Volume II: ``EDGAR Filing.''
---------------------------------------------------------------------------

    \7\ See Investment Company Reporting Modernization, Release 33-
10231 (Oct. 13, 2016) [81 FR 81870 (Nov. 18, 2016)].
---------------------------------------------------------------------------

    Additional update and minor corrections made to the EDGAR Filer 
Manual, Volume II: ``EDGAR Filing'' include:
     Updates to instructions for filing Form X-17A-5 Part III 
noting the staff of the Division of Trading and Markets' temporary 
conditional no-action position for broker-dealers that are unable to 
obtain notarization services due to difficulties arising from COVID-19. 
See Section 8.2.20 of Chapter 8 (Preparing and Transmitting Online 
Submissions).
     Correction of the title ``EDGAR TA XML Technical 
Specification.'' See Chapter 3 (Index to Forms).
     Replacement of Figure 8-188: ``Signature Screen for 
submission form type X-17A-5.''
     Updates to references to ``Convert Paper Only Filer to 
Electronic Filer'' to ``Apply for EDGAR Access: Applicants With a CIK 
but Without EDGAR Access Codes.'' \8\
---------------------------------------------------------------------------

    \8\ Starting June 25, 2021, applicants for EDGAR access who 
previously used the ``Convert Paper Only Filer to Electronic Filer'' 
process would now be required to submit the Form ID and an 
authenticating document to apply for access to file on EDGAR. See 
Adoption of Updated EDGAR Filer Manual, Form ID Amendments, Release 
No. 33-10935 [86 FR 25803].

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[[Page 40310]]

    EDGAR Release 21.2 also introduces additional changes in EDGAR that 
do not require corresponding amendments to the Filer Manual. See the 
``Updates'' section of Volume II of the EDGAR Filer Manual, Volume II: 
``EDGAR Filing.''

IV. Amendments to Rule 301 of Regulation S-T

    Along with the adoption of the updated 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 the current 
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 is available at https://www.sec.gov/edgar/filer-information/current-edgar-filer-manual. Typically, the 
EDGAR Filer Manual is also available for website viewing and printing 
in the Commission's Public Reference Room, 100 F Street NE, Washington, 
DC 20549, on official business days between the hours of 10 a.m. and 3 
p.m. Due to pandemic conditions, however, access to the Commission's 
Public Reference Room is not permitted at this time.

V. Administrative Law Matters

    Because the Filer Manual, and form and rule amendments, relate 
solely to agency procedures or practice and do not substantially alter 
the rights and obligations of non-agency parties, publication for 
notice and comment is not required under the Administrative Procedure 
Act (``APA'').\9\ It follows that the amendments do not require 
analysis under requirements of the Regulatory Flexibility Act \10\ or a 
report to Congress under the Small Business Regulatory Fairness 
Act.\11\
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    \9\ 5 U.S.C. 553(b)(A).
    \10\ 5 U.S.C. 601-612.
    \11\ 5 U.S.C. 804(3)(C).
---------------------------------------------------------------------------

    The effective date for the updated Filer Manual and related rule 
amendments is July 28, 2021. In accordance with the APA,\12\ we find 
that there is good cause to establish an effective date less than 30 
days after publication of these rules. The Commission believes that 
establishing an effective date less than 30 days after publication of 
these rules is necessary to coordinate the effectiveness of the updated 
Filer Manual with the related system upgrades.
---------------------------------------------------------------------------

    \12\ 5 U.S.C. 553(d)(3).
---------------------------------------------------------------------------

VI. Statutory Basis

    We are adopting the amendments to Regulation S-T under the 
authority in Sections 6, 7, 8, 10, and 19(a) of the Securities Act of 
1933,\13\ Sections 3, 12, 13, 14, 15, 15B, 23, and 35A of the 
Securities Exchange Act of 1934,\14\ Section 319 of the Trust Indenture 
Act of 1939,\15\ and Sections 8, 30, 31, and 38 of the Investment 
Company Act of 1940.\16\
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    \13\ 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
    \14\ 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78o-4, 78w, and 78ll.
    \15\ 15 U.S.C. 77 sss.
    \16\ 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 Amendments

    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, 7201 et seq.; and 18 U.S.C. 1350, 
unless otherwise noted.


0
2. Section 232.301 is revised to read as follows:


Sec.  232.301  EDGAR Filer Manual.

    Filers must prepare electronic filings in the manner prescribed by 
the EDGAR Filer Manual, promulgated by the Commission, which sets forth 
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 38 (June 2021). The requirements for filing on 
EDGAR are set forth in the updated EDGAR Filer Manual, Volume II: 
``EDGAR Filing,'' Version 58 (June 2021). 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 at https://www.sec.gov/edgar/filer-information/current-edgar-filer-manual. Typically, the 
EDGAR Filer Manual is also available for website viewing and printing 
in the Commission's Public Reference Room, 100 F Street NE, Washington, 
DC 20549, on official business days between the hours of 10 a.m. and 3 
p.m. Due to pandemic conditions, however, access to the Commission's 
Public Reference Room is not permitted at this time. You can also 
inspect the document at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, email [email protected], or go to: https://www.archives.gov/federal-register/cfr/ibr-locations.html.

    By the Commission.

    Dated: June 21, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-15317 Filed 7-27-21; 8:45 am]
BILLING CODE 8011-01-P
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