
[Federal Register: August 4, 2009 (Volume 74, Number 148)]
[Rules and Regulations]               
[Page 38523-38524]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr04au09-7]                         

=======================================================================
-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 232

[Release Nos. 33-9058; 34-60390; 39-2466; IC-28838]

 
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 to reflect updates to the EDGAR 
system. The revisions were made primarily to support the 2009 US GAAP 
Taxonomy, the Schedule of Investments (SOI) Taxonomy and to communicate 
a change in the Filer Support hours to 9 a.m. to 5:30 p.m. The 
revisions to the Filer Manual reflect changes within Volume I entitled 
EDGAR Filer Manual, Volume I: ``General Information,'' Version 7 (July 
2009) and Volume II entitled EDGAR Filer Manual, Volume II: ``EDGAR 
Filing,'' Version 12 (July 2009). The updated manual will be 
incorporated by reference into the Code of Federal Regulations.

DATES: Effective Date: August 4, 2009. The incorporation by reference 
of certain publications listed in the rule is approved by the Director 
of the Federal Register as of August 4, 2009.

FOR FURTHER INFORMATION CONTACT: In the Office of Information 
Technology, contact Rick Heroux, at (202) 551-8800; in the Office of 
Interactive Disclosure for questions concerning the 2009 US GAAP 
Taxonomy and the Schedule of Investments Taxonomy contact Jeffrey 
Naumann, Assistant Director of the Office of Interactive Disclosure, at 
(202) 551-5352; in the Division of Corporation Finance, for questions 
on the change in filer support hours of operation, the Form D entity 
type description requirement or the requirement to provide additional 
information on the authentication documentation for Update Passphrase 
and Convert Paper Filer to Electronic Filer requests contact Cecile 
Peters, Chief, Office of Information Technology, at (202) 551-3600; and 
in the Division of Investment Management for questions on changing 
investment company type contact Ruth Armfield Sanders, Senior Special 
Counsel, Office of Legal and Disclosure, at (202) 551-6989.

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 \2\ 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 April 23, 2009. See Release No. 33-9027 (April 16, 
2009) [74 FR 18465].
    \2\ This is the filer assistance software we provide filers 
filing on the EDGAR system.
---------------------------------------------------------------------------

    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.\3\ Filers may consult the Filer Manual in conjunction with our 
rules governing mandated electronic filing when preparing documents for 
electronic submission.\4\
---------------------------------------------------------------------------

    \3\ See Rule 301 of Regulation S-T (17 CFR 232.301).
    \4\ See Release No. 33-9027 (April 16, 2009) [74 FR 18465] in 
which we implemented EDGAR Release 9.15.1. For a complete history of 
Filer Manual rules, please see the cites therein.
---------------------------------------------------------------------------

    The EDGAR system will be upgraded to Release 9.16 on July 20, 2009 
and will introduce the following changes: Interactive Data/XBRL 
Changes: The existing US GAAP Taxonomy will be upgraded to the 2009 US 
GAAP Taxonomy; the US GAAP Beta 2.0 Taxonomy will no longer be 
supported; and, the system will support the Schedule of Investments 
Taxonomy 2008. Taxonomy details can be found on the SEC public Web 
site's ``EDGAR Standard Taxonomies'' Web page (http://www.sec.gov/info/
edgar/edgartaxonomies.shtml). Chapter 6 (Interactive Data) of the EDGAR 
Filer Manual, Volume II: ``EDGAR Filing'' has been updated to make 
minor clarifications to the instructions on XBRL/Interactive Data 
Tagging.
    New Filer Support Hours: The updated EDGAR Filer Manual makes the 
business hours for all EDGAR Filer Support branches uniform and 
conforms them to the Commission's official business hours of 9 a.m. to 
5:30 p.m. Eastern Time. The manual notes that for the first time filers 
may leave voice mail for calls placed outside of the official business 
hours.
    Filer Management: Filers will be required to provide the printed 
name and title or position of the authorized person signing on both the 
Update Passphrase and Convert Paper Only Filer to Electronic Filer 
requests, which are faxed to the SEC.
    A new fax line will be added for submitting Form ID notarized 
authentication documentation. The new fax line number will be (703) 
813-6961.
    The EDGAR Filing Web site will be updated to allow filers to change 
their investment company type (ICT) from the ``Enter Series and Classes 
(Contracts) Information'' option under the Retrieve/Edit Data menu.
    Minor description changes were made to submission form types 
DEFM14A and PREM14A.
    Along with 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.
    You may obtain paper copies of the updated Filer Manual at the 
following address: Public Reference Room, U.S. Securities and Exchange 
Commission, 100 F Street, NE., Room 1520, Washington, DC 20549, on 
official business days between the hours of 10 a.m. and 3 p.m. We will 
post electronic format copies on the Commission's Web site; the address 
for the Filer Manual is http://www.sec.gov/info/edgar.shtml.
    Since the Filer Manual relates solely to agency procedures or 
practice, publication for notice and comment is not required under the 
Administrative Procedure Act (APA).\5\ It follows that the requirements 
of the Regulatory Flexibility Act \6\ do not apply.
---------------------------------------------------------------------------

    \5\ 5 U.S.C. 553(b).
    \6\ 5 U.S.C. 601-612.
---------------------------------------------------------------------------

    The effective date for the updated Filer Manual and the rule 
amendments is August 4, 2009. In accordance with the APA,\7\ 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 9.16 is scheduled to be available on July 20, 2009. 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 system upgrade.
---------------------------------------------------------------------------

    \7\ 5 U.S.C. 553(d)(3).

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

[[Page 38524]]

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,\8\ Sections 3, 12, 
13, 14, 15, 23, and 35A of the Securities Exchange Act of 1934,\9\ 
Section 319 of the Trust Indenture Act of 1939,\10\ and Sections 8, 30, 
31, and 38 of the Investment Company Act of 1940.\11\
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
    \9\ 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll.
    \10\ 15 U.S.C. 77sss.
    \11\ 15 U.S.C. 80a-8, 80a-29, 80a-30, and 80a-37.
---------------------------------------------------------------------------

List of Subjects in 17 CFR Part 232

    Incorporation by reference, Reporting and recordkeeping 
requirements, Securities.

Text of the Amendment

0
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. 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.
* * * * *

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 out 
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 7 (July 2009). The requirements for filing on 
EDGAR are set forth in the updated EDGAR Filer Manual, Volume II: 
``EDGAR Filing,'' Version 12 (July 2009). Additional provisions 
applicable to Form N-SAR filers are set forth in the EDGAR Filer 
Manual, Volume III: ``N-SAR Supplement,'' Version 1 (September 2005). 
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. 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., Room 1520, 
Washington, DC 20549, or call (202) 551-5850, on official business days 
between the hours of 10 a.m. and 3 p.m. Electronic copies are available 
on the Commission's Web site. The address for the Filer Manual is 
http://www.sec.gov/info/edgar.shtml. 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: http://www.archives.gov/federal_register/code_of_
federal_regulations/ibr_locations.html.

    By the Commission.

    Dated: July 28, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E9-18434 Filed 8-3-09; 8:45 am]

BILLING CODE 8010-01-P
