New EDGAR Forms

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

• SF-1MEF: A new registration statement filed under Securities Act Rule 462(b) to add securities to a prior related effective registration statement filed on Form SF-1
• 486BXT: Post-effective amendment filed pursuant to Securities Act Rule 486(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 486(a) (this filing cannot be submitted as a 1940 Act only filing)

Changes pursuant to Titles I & II of the JOBS Act

Submission form types DRS and DRS/A were revised to require the Emerging Growth Company indicators used to notify the Commission of a registrant’s status as an emerging growth company and to indicate whether the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards.

MA

The following changes were made to the MA forms:

• Form MA-I and Form MA-I/A were updated to allow filers to sort the dates in reverse chronological order in Item 3 Residential History and Item 4 Employment History.
• Overlapping dates in Item 3 of Forms MA-I and MA-I/A are now allowed.
• Form MA-W will only allow SEC file numbers with an “867” prefix.

N-PORT

Filers can now make a single submission for multiple series on Form NPORT-EX and Form NPORT-EX/A.

N-CEN

Form N-CEN and Form N-CEN/A were updated to allow Filer Investment Company Types N-1A, N-2, and N-3 to skip Part C when all of their series are terminated.

Other EDGAR Changes

Other changes to EDGAR include:

• 13H filers that are individuals without a Tax Identification Number (TIN) should immediately discontinue providing their Social Security number in the TIN field on form 13H. If an individual filer does not have a TIN, then provide a value of “000-00-0000”.
• Form ID was updated to allow the filer to indicate whether the access codes are for submitting a draft registration or draft offering statement.
• EDGAR now suspends ABS-EE and ABS-EE/A submissions (along with Combined 10-D/ABS-EE submissions and their amendments) if the Reporting Period Begin Date is after the Reporting Period End Date.
• EDGAR was updated to reflect the 2018 versions of taxonomy updates.

Version 4.22a 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 4.22a, read our release notes.

Sources:

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