EDGAR - SEC

[Pages:147]DRAFT EDGAR Filer Manual Volume I General Information

EDGAR

ELECTRONIC DATA GATHERING, ANALYSIS, AND RETRIEVAL

Version 21 September February 20065

DRAFT

Notice

This draft Filer Manual, posted before Commission approval of potential regulatory changes in this release, is provided as a service to our filing community to assist filers, agents, and software developers prepare for potential changes the staff anticipates. Since this is a draft manual, the SEC retains the right to change any part of the manual before the new system release is made final. In addition, the final EDGAR Filer Manual (Volume I) is subject to Commission approval and may be revised before approval or not approved at all. Similarly, the posting of the draft manual does not indicate Commission approval of any pending proposed changes relating to the potential changes reflected in the draft manual. The changes outlined in this draft manual, if approved, are scheduled to take effect on February 6, 2006. The final version of the manual will be made available as and if approved by the Commission on or about February 6, 2006, on the SEC's Public Website.

Use this EDGAR? Filer Manual when making electronic filings with the United States Securities and Exchange Commission (SEC or "Commission"). See Rule 301 of Regulation S-T.

The EDGAR Filer Manual consists of three volumes. EDGAR Filer Manual (Volume I) General Information introduces the requirements for becoming an EDGAR Filer and maintaining EDGAR company information. EDGAR Filer Manual (Volume II) EDGAR Filing illustrates the process to submit an online filing. EDGAR Filer Manual (Volume III) N-SAR Supplement is a guide for preparing electronic submissions of Form N-SAR.

________________________________________________________

For up-to-date information regarding filing-related topics, consult the following EDGAR websites:

- Information for EDGAR Filers ()

- EDGAR Gateway to submit filings ()

- EDGAR Company Database ().

________________________________________________________

EDGAR? and EDGARLink? are registered trademarks of the Securities and Exchange Commission. All other product brand names mentioned in this Filer Manual are trademarks or registered trademarks of their respective holders.

Note: New EDGAR software releases include modifications to the EDGARLink software and EDGAR submission templates. Please download, install, and use the new EDGARLink software and submission templates to ensure that submissions will be processed successfully.

As of this version, all of the volumes of the EDGAR Filer Manual are re-baselined at Version One. They no longer follow the EDGAR release version numbers, and may not be updated for each release. In addition, former Volume II N-SAR Supplement is changed to Volume III N-SAR Supplement. Filers should consult the EDGAR Filing Website, the

September 2005February 2006

EDGAR Filer Manual (Volume I)

DRAFT

EDGAR OnlineForms/XML Website, and the SEC's Public Website to determine the current version of the documents. Current version numbers of each of the documents will be posted and updated documents will be highlighted as "NEW".

EDGAR Filer Manual (Volume I)

September 2005February 2006

DRAFT

Updates:

On February 6, 2006 EDGAR Release 9.3 introduces the following changes in support of the recent rule change "Amendments to Rules Governing EDGAR System: Mandatory Identification of Investment Company Series and Classes; Two Additions to Investment Company Mandatory Electronic Filings; And Technical Revisions"; see Release No. 33-8590 (July 18, 2005) [70 FR 43558]:

? EDGAR Filer Manual Volume I Section 5.4.1 Series and Classes (Contracts) Information has been updated for clarity, alignment with the recent rule change, and changes in the software functions. The major changes in function are: A new status value of Merged has been added for both series and classes (contracts). Reactivations (changing to a status of Active) for both series and classes (contracts) are blocked for SEC review and may be suspended. Automatic change of status of series and classes based on changes in investment company type have been removed. The filer must now explicitly change the status of the series and classes (contracts) to inactive for changes of investment company type to a type that has a lesser number of series or classes (contracts). For example, this will apply when changing from Form N-1A or Form N-3 to a Form N-4 or Form N-6 type of company.

The recent enactment of the Energy Policy Act of 2005 will result in the repeal of the Public Utility Holding Company Act of 1935 ("1935 Act") effective February 8, 2006. Therefore, references to the 1935 Act will be removed from the EDGAR Filer Manual in this revision of the volume.

September 2005February 2006

EDGAR Filer Manual (Volume I)

DRAFT

Table of Contents

PREFACE.................................................................................................................................... IV 1. INTRODUCTION TO VOLUME I .................................................................................. 1-1

1.1 Organization of this Manual ........................................................................................ 1-1 1.2 Conventions Used in this Manual................................................................................ 1-1 2. GENERAL INFORMATION FOR FILERS ................................................................... 2-1 2.1 How to Obtain the EDGAR Filer Manual ................................................................... 2-1 2.2 Hours of Operation ...................................................................................................... 2-1 2.3 Introduction to Web Browsers ..................................................................................... 2-1

2.3.1 Browser Differences .......................................................................................................................... 2-1

2.4 Accessing EDGAR ...................................................................................................... 2-2 2.5 EDGAR Hardware and Software Requirements.......................................................... 2-3 2.6 Getting Help with EDGAR.......................................................................................... 2-3 3. BECOMING AN EDGAR FILER .................................................................................... 3-1 3.1 Getting Ready .............................................................................................................. 3-1

3.1.1 Accessing the EDGAR Gateway ....................................................................................................... 3-5

3.1.2 Accessing the EDGAR Filer Management Website .......................................................................... 3-6

3.1.3 Navigating the EDGAR Filer Management Website (EFMW) ......................................................... 3-7

3.2 New SEC Filer: Applying for EDGAR Access ......................................................... 3-10

3.2.1 Overview ......................................................................................................................................... 3-10

3.2.2 Application (Form ID)..................................................................................................................... 3-11

3.2.3 Assembling and Submitting the Form ID Application .................................................................... 3-20

3.2.4 Defining a Passphrase...................................................................................................................... 3-27

3.2.5 Authentication Documentation ........................................................................................................ 3-32

3.2.6 Application Acceptance and Applicant Notification ....................................................................... 3-33

3.3 Current SEC Filer: Applying for EDGAR Access .................................................... 3-33

3.3.1 Current Paper Only Filer ................................................................................................................. 3-33

3.3.2 New Serial Company....................................................................................................................... 3-38

3.4 Creating an Asset Backed Securities Issuing Entity.................................................. 3-42 3.5 Examples of Notification Messages .......................................................................... 3-47

3.5.1 Form ID Application Messages ....................................................................................................... 3-48

September 2005February 2006

i

EDGAR Filer Manual (Volume I)

DRAFT

3.5.2 Convert Paper Only Filer to Electronic Filer Request ..................................................................... 3-50

3.5.3 EDGAR Access for New Serial Companies Request ...................................................................... 3-52

4. GENERATING EDGAR ACCESS CODES .................................................................... 4-1 4.1 Generating All EDGAR Access Codes........................................................................ 4-1

4.1.1 Requesting an EDGAR Passphrase ................................................................................................... 4-4

4.1.2 Update Passphrase Request ............................................................................................................... 4-9

4.1.3 Changing your CCC or Password.................................................................................................... 4-11

4.1.4 Creating a Passphrase for the First Time ......................................................................................... 4-15

5. MAINTENANCE OF COMPANY DATA ....................................................................... 5-1 5.1 Login to EDGAR ......................................................................................................... 5-1 5.2 Accessing Submission and Company Information ...................................................... 5-1 5.3 Retrieve Company Information ................................................................................... 5-3 5.4 Edit Company Information .......................................................................................... 5-5

5.4.1 Series and Classes (Contracts) Information....................................................................................... 5-8

5.5 Logging in with a Different CIK ............................................................................... 5-31 6. INTRODUCTION TO FILING ON EDGAR .................................................................. 6-1

6.1 Filing Preparation and Submission .............................................................................. 6-1 6.2 EDGARLink Forms ..................................................................................................... 6-1

6.2.1 Creating an EDGARLink Filing ........................................................................................................ 6-1

6.2.2 Transmitting an EDGARLink Filing ................................................................................................. 6-2

6.2.3 Additional Filing Transmission Methods for EDGARLink Filings .................................................. 6-2

6.3 Online XML Forms...................................................................................................... 6-3

6.3.1 Creating an Online XML Form ......................................................................................................... 6-3

6.3.2 Transmitting an Online XML Form................................................................................................... 6-4

6.4 Filer-Constructed Technical Filing Specifications ...................................................... 6-4

6.4.1 XFDL Technical Specification .......................................................................................................... 6-5

6.4.2 XML Form Type Technical Specification......................................................................................... 6-5

6.4.3 Transmitting XFDL and XML Form Types ...................................................................................... 6-6

APPENDIX A. GLOSSARY OF COMMONLY USED TERMS, ACRONYMS, AND ABBREVIATIONS ........................................................................................ A-1

APPENDIX B. FREQUENTLY ASKED QUESTIONS ........................................................B-1 APPENDIX C. AUTOMATED NAME CONFORMANCE RULES................................... C-1

EDGAR Filer Manual (Volume I)

ii

September 2005February 2006

 ................
................

In order to avoid copyright disputes, this page is only a partial summary.

Google Online Preview   Download