[Federal Register Volume 62, Number 149 (Monday, August 4, 1997)]
[Rules and Regulations]
[Pages 41841-41842]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-20413]
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SECURITIES AND EXCHANGE COMMISSION
17 CFR Part 232
[Release Nos. 33-7432; 34-38883; 35-26747; 39-2356; IC-22769]
RIN 3235-AG96
Adoption of Updated EDGAR Filer Manual
AGENCY: Securities and Exchange Commission.
ACTION: Final rules.
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SUMMARY: The Commission is adopting an updated edition of the EDGAR
Filer Manual and is providing for its incorporation by reference into
the Code of Federal Regulations.
DATES: The amendment to 17 CFR part 232 (Regulation S-T) will be
effective on August 25, 1997. The new edition of the EDGAR Filer Manual
(Release 5.30) will be effective on August 25, 1997. The incorporation
by reference of the EDGAR Filer Manual is approved by the Director of
the Federal Register as of August 25, 1997.
FOR FURTHER INFORMATION CONTACT: In the Office of Information
Technology, David T. Copenhafer at (202) 942-8800; for questions
concerning investment company filings, Ruth Armfield Sanders, Senior
Counsel, Division of Investment Management, at (202) 942-0633; and for
questions concerning Corporation Finance company filings, Margaret R.
Black at (202) 942-2933.
SUPPLEMENTARY INFORMATION: The Commission today announces the adoption
of an updated EDGAR Filer Manual (``Filer Manual''), which sets forth
the technical formatting requirements governing the preparation and
submission of electronic filings through the Electronic Data Gathering,
Analysis, and Retrieval (``EDGAR'') system.1 Compliance with
the provisions of the Filer Manual is required in order to assure the
timely acceptance and processing of filings made in electronic
format.2 Filers should consult the Filer Manual in
conjunction with the Commission's rules governing mandated electronic
[[Page 41842]]
filing when preparing documents for electronic submission.3
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\1\ The Filer Manual originally was adopted on April 1, 1993,
and became effective on April 26, 1993. Release No. 33-6986 (Apr. 1,
1993) (58 FR 18638). The most recent update to the Filer Manual was
implemented on April 14, 1997. See Release Nos. 33-7394 (Feb. 21,
1997) (62 FR 8877), 33-7405 (Mar. 19, 1997) (62 FR 13820), and 33-
7411 (Apr. 2, 1997) (62 FR 16690).
\2\ See Rule 301 of Regulation S-T (17 CFR 232.301).
\3\ See Release Nos. 33-6977 (Feb. 23, 1993) (58 FR 14628), IC-
19284 (Feb. 23, 1993) (58 FR 14848), 35-25746 (Feb. 23, 1993) (58 FR
14999), and 33-6980 (Feb. 23, 1993) (58 FR 15009) for a
comprehensive treatment of the rules adopted by the Commission
governing mandated electronic filing. See also Release No. 33-7122
(Dec. 19, 1994) (59 FR 67752), in which the Commission made the
EDGAR rules final and applicable to all domestic registrants, and
Release No. 33-7427 (July 1, 1997) (62 FR 36450), adopting the most
recent minor amendments to the EDGAR rules.
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In this update, several submission types have been added. First,
EDGAR submission types 13F-HR, 13F-HR/A, 13F-NT, and 13F-NT/A have been
added. These submission types will accommodate the electronic
submission of reports on Form 13F 4 in the event that the
Commission amends its rules to require mandatory electronic filing of
Form 13F.5
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\4\ 17 CFR 249.325.
\5\ See Release No. 34-38800 (July 1, 1997) (62 FR 36467), in
which the Commission proposed to require electronic filling of Form
13F via the EDGAR system.
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Also added are EDGAR submission types U-9C-3 and U-9C-3/A. These
submission types are to be used by public utility holding companies for
the submission of Form U-9C-3, Report Pursuant to Rule 58.6
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\6\ 17 CFR 259.208. See Release No. 35-26667 (Feb. 14, 1997) (62
FR 7900). ab
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Finally, a new submission has been added to accommodate electronic
submissions of certain filings by companies whose filings are within
the purview of the Division of Corporation Finance. Submission type POS
EX has been added to reflect the Commission's recent adoption of Rule
462(d) under the Securities Act of 1933. This rule will permit
automatic effectiveness of a post-effective amendment filed solely to
add an exhibit.
The following submission types have been eliminated from EDGAR: 10-
C, 10-C/A, 486A24E, 486A24F, 486B24E, 48624F, 8-B12B, 8-B12B/A, 8-B12G,
8-B12G/A, 8A12BEF, 8A12BT, and 8A12BT/A.
Rule 301 of Regulation S-T also is being amended to provide for the
incorporation by reference of the Filer Manual into the Code of Federal
Regulations, which 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 revised Filer Manual and the amendment to Rule 301
will be effective on August 25, 1997.
Paper copies of the updated Filer Manual may be obtained at the
following address: Public Reference Room, U.S. Securities and Exchange
Commission, Mail Stop 1-2, 450 Fifth Street, NW., Washington DC 20549.
Electronic format copies will be available on the EDGAR electronic
bulletin board. Copies also may be obtained from Disclosure
Incorporated, the paper and microfiche contractor for the Commission,
at (800) 638-8241.
Since the Filer Manual relates solely to agency procedure or
practice, publication for notice and comment is not required under the
Administrative Procedure Act.7 It follows that the
requirements of the Regulatory Flexibility Act 8 do not
apply.
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\7\ 5 U.S.C. 601-612.
\8\ 5 U.S.C. 553(b).
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The effective date for the updated Filer Manual and the rule
amendment is on August 25, 1997. In accordance with the Administrative
Procedure Act 5 U.S.C. 553(d)(3), the Commission finds that there is
good cause to establish an effective date less than 30 days after
publication of these rules. The EDGAR system is scheduled to be
upgraded to Release 5.30 on August 23, 1997. The Commission believes
that it is necessary to coordinate the effectiveness of the updated
Filer Manual with the scheduled system upgrade in order to avoid
confusion to EDGAR filers.
Statutory Basis
The amendment to Regulation S-T is being adopted under sections 6,
7, 8, 10, and 19(a) of the Securities Act of 1933,9 sections
3, 12, 13, 14, 15, 23, and 35A of the Securities Exchange Act of
1934,10 section 20 of the Public Utility Holding Company Act
of 1935,11 section 319 of the Trust Indenture Act of
1939,12 and sections 8, 30, 31, and 38 of the Investment
Company Act.13
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\9\ 15 U.S.C. 77f, 77g, 77h, 77j and 77s(a).
\10\ 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w and 78ll.
\11\ 15 U.S.C. 79t.
\12\ 15 U.S.C. 77sss.
\13\ 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; Investment companies; Registration
requirements; 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 as
follows:
Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 77sss(a),
78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll(d), 79t(a), 80a-8, 80a-
29, 80a-30 and 80a-37.
2. Section 232.301 is revised to read as follows:
Sec. 232.301 EDGAR Filer Manual.
Electronic filings shall be prepared in the manner prescribed by
the EDGAR Filer Manual, promulgated by the Commission, which sets out
the technical formatting requirements for electronic submissions. The
August 1997 edition of the EDGAR Filer Manual: Guide for Electronic
Filing with the U.S. Securities and Exchange Commission (Release 5.30)
is incorporated into the Code of Federal Regulations by reference,
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. Compliance with the
requirements found therein is essential to the timely receipt and
acceptance of documents filed with or otherwise submitted to the
Commission in electronic format. Paper copies of the EDGAR Filer Manual
may be obtained at the following address: Public Reference Room, U.S.
Securities and Exchange Commission, Mail Stop 1-2, 450 5th Street, NW.,
Washington, DC 20549. They also may be obtained from Disclosure
Incorporated by calling (800) 638-8241. Electronic format copies are
available through the EDGAR electronic bulletin board. Information on
becoming an EDGAR E-mail/electronic bulletin board subscriber is
available by contacting CompuServe Inc. at (800) 576-4247.
By the Commission.
Dated: July 29, 1997.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 97-20413 Filed 8-1-97; 8:45 am]
BILLING CODE 8010-01-P
