[Federal Register Volume 59, Number 188 (Thursday, September 29, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-24045]
[[Page Unknown]]
[Federal Register: September 29, 1994]
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SECURITIES AND EXCHANGE COMMISSION
17 CFR Part 232
[Release Nos. 33-7094; 34-34708; 35-26129; 39-2323; IC-20569]
RIN 3235-AG10
Adoption of Updated EDGAR Filer Manual
AGENCY: Securities and Exchange Commission.
ACTION: Final rule.
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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.
EFFECTIVE DATE: The amendment to Regulation S-T will be effective on
October 31, 1994. The new edition of the EDGAR Filer Manual (Release
4.0) will be effective on October 31, 1994. The incorporation by
reference of the EDGAR Filer Manual is approved by the Director of the
Federal Register as of October 31, 1994.
FOR FURTHER INFORMATION CONTACT: In the Office of Information
Technology, David T. Copenhafer at (202) 942-8800; in the Division of
Corporation Finance, Barbara C. Jacobs or James R. Budge at (202) 942-
2910; in the Division of Investment Management, Anthony A. Vertuno at
(202) 942-0591 or Ruth Armfield Sanders at (202) 941-0633.
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 filing when
preparing documents for electronic submission.3 In this update,
electronic filers will be required to identify for the EDGAR system the
national securities exchanges or national securities associations on or
through which the issuer's securities are traded. A number of new form
types also will be made available, including several that will allow
more flexibility in filing proxy materials. 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
October 31, 1994.
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\1\The Filer Manual originally was adopted on April 1, 1993, and
became effective on April 26, 1993. See Release No. 33-6986 (April
1, 1993) (58 FR 18638). Updates to the Filer Manual were adopted on
July 8, 1994. See Release No. 33-7073 (July 8, 1994) (59 FR 36262).
\2\See Rule 301 of Regulation S-T (17 CFR 232.301).
\3\See Release Nos. 33-6977 (February 23, 1993) (58 FR 14628),
IC-19284 (February 23, 1993) (58 FR 14848), 35-25746 (February 23,
1993) (58 FR 14999), and 33-6980 (February 23, 1993) (58 FR 15009)
for a comprehensive treatment of the rules adopted by the Commission
governing mandated electronic filing.
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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, N.W., Washington D.C.
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.4 It follows that the requirements of
the Regulatory Flexibility Act5 do not apply.
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\4\5 U.S.C. 553(b).
\5\5 U.S.C. 601-612.
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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 1933,6 Sections 3,
12, 13, 14, 15, 23, and 35A of the Securities Exchange Act of
1934,7 Section 20 of the Public Utility Holding Company Act of
1935,8 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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\6\15 U.S.C. 77f, 77g, 77h, 77j and 77s(a).
\7\15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w and 78ll.
\8\15 U.S.C. 79t.
\9\15 U.S.C. 77sss.
\1\015 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
September 1994 edition of the EDGAR Filer Manual: Guide for Electronic
Filing with the U.S. Securities and Exchange Commission (Release 4.0)
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) 848-8199.
By the Commission.
Dated: September 23, 1994.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 94-24045 Filed 9-28-94; 8:45 am]
BILLING CODE 8010-01-P
