On September 14, 2015, EDGAR 15.3 was released by the Securities and Exchange Commission. This release contained new EDGAR forms and changes to exhibits.
New EDGAR Forms
The new forms pertain to Swap Data Repositories (SDRs). These forms are as follows:
– SDR-CCO: Annual Compliance Report and Annual Financial Report
– SDR-CCO/A: Amendment to Annual Compliance Report and Annual Financial Report
Both of these new EDGAR form types include the “Request Confidentiality” check box which allows applicants to request confidential treatment for each attached document. Staff at the SEC will review the submission and determine if the information for which confidential treatment was requested should be made public.
Only those documents that SEC staff have determined should be made public will be disseminated by EDGAR.
New EDGAR Exhibits
A new exhibit was added to allow registrants to file a certification required for shelf offerings of asset-backed securities, as follows:
– EX-36 (Depositor Certification for shelf offerings of asset-backed securities)
This exhibit is available for Forms SF-3, SF-3/A, 8-K, and 8-K/A. The exhibit should be attached as an HTML or ASCII document, as specified by the EDGAR Filer Manual. An unofficial PDF document may also be attached. For Forms 8-K and 8-K/A, filers may only attach this exhibit when the primary filer’s SIC Code is 6189 (Asset-Backed Securities).
Changes to EDGAR Exhibits
XBRL document types are now accepted for SDR Exhibit K and Exhibit L for Forms SDR, SDR/A, SDR-A and SDR/W. Filers can continue to file these exhibits in ASCII or HTML.
The document types for the XBRL format for Exhibit K are as follows:
– EX-99.K SDR.INS
– EX-99.K SDR.SCH
– EX-99.K SDR.PRE
– EX-99.K SDR.LAB
– EX-99.K SDR.CAL
– EX-99.K SDR.DEF
The document types for the XBRL format for Exhibit L are as follows:
– EX-99.L SDR.INS
– EX-99.L SDR.SCH
– EX-99.L SDR.PRE
– EX-99.L SDR.LAB
– EX-99.L SDR.CAL
– EX-99.L SDR.DEF
Additionally, EDGAR will no longer support the use of SSLv3 encryption protocol as of this release. Filers will be required to use the TLSv1.0 protocol. If you’d like more information on this change, review this Novaworks blog post on how the SEC is ramping up Internet Security.
Version 4.9a of the GoFiler family (released September 14, 2015) 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 4.9a, read our release notes.
References:
http://www.sec.gov/info/edgar/edgarfm-vol1-v23.pdf
http://www.sec.gov/info/edgar/edgarfm-vol2-v34.pdf
