Combined 10-D/ABS-EE

EDGAR was updated to allow (but not require) Asset Backed Securities filers to jointly submit Form 10-D and Form ABS-EE filings in a combined, single submission. In a combined submission:

• The two forms that are submitted as part of a combined submission generate their own accession numbers.
• When filed in a combined submission, the "Period" value for the Form 10-D and Form 10-D/A portion may be a future period value since it will use the "End Period" value of the Form ABS-EE and Form ABS-EE/A portion. Submission form types 10-D and 10-D/A continue to not allow a future value for the "Period" value when submitted as individual filings.
• The maximum allowable submission size for a Combined 10-D/ABS-EE submission is 800 MB, with 600 MB for the ABS-EE submission form type and 200 MB for the 10-D submission form type (and their respective amendments).

Filers can use the EDGAR Filing Website to create and submit this combined form by choosing the Form 10-D submission type on EDGARLink Online and setting the Is this a Combined 10-D/ABS-EE filing? field to “Yes”.

CERT

EDGAR was updated to add the following new submission form type:

• CERT: Certification by an exchange approving securities for listing

National Securities Exchanges may complete the new CERT submission form type to certify the registration and listing of securities on the Exchange. As part of this submission, the Exchange must provide the CIK of the registrant for the Registrant CIK field. The primary official document “CERT” will only be accepted in PDF format.

This form type may be created using the EDGARLink Online tool.

N-LIQUID

The following forms were added to EDGARLink Online:

• N-LIQUID: Current Report Open-End Management Investment Company Liquidity.
• N-LIQUID/A: Amendment to a Current Report Open-End Management Investment Company Liquidity.

This form type may be created using the EDGARLink Online tool.

Other EDGAR Changes

• For an N-CEN/A submission created by loading data from a previously accepted N-CEN or N-CEN/A filing for the same period-end, a filer must re-attach all attachments filed with the previous submission in addition to making the intended changes in the data on the form. Filers should also confirm that information in the Signature section is accurate.


• A Bulk Filing cannot exceed the 200 MB submission file limitation after decompression. Filers may file submission form types ABS-EE and ABS-EE/A as Bulk Filings, as long as they do not exceed the total 200 MB file size limitation after decompression.

Version 4.21a of the GoFiler family addresses these changes to EDGAR. If you need to update your version of GoFiler, use the Check for Updates function within your software. For a full list of improvements that were made for Version 4.21a, read our release notes.

Sources:

EDGAR Filer Manuals (Volume I-III) (www.sec.gov)