SEC Updates EDGAR Manual

Going Pubic - SEC Updates EDGAR Manual

Client Alert

On December 15, 2014, the SEC updated Volume I and Volume II of its EDGAR Filer Manual . Changes to the Edgar Manual include:
  • A new exhibit type EX – 1.01 is now available on EDGARLink Online for submission form types SD and SD/A. Issuers filing a conflict minerals report should specify Item 1.02 on a Form SD or SD/A submission and attach the conflict minerals report as EX – 1.01 in official ASCII or HTML format. Exhibit type EX – 1.02, which was previously allowed on an SD and SD/A submission, is no longer available on EDGARLink Online or accepted by EDGAR.
  • The EDGAR automated submission notification e-mails for Form D submissions will now include the web address to the North American Securities Administrators Association’s (NASAA) new online Form D Portal to enable Form D filers to fulfill their state filing obligations electronically.
  • Submission form type 13H-A now restricts the “calendar year ending” value to a year that is prior to the present calendar year.
  • The EDGAR automated submission notification e-mail for a 13H-A submission form type has been updated to notify the Edgar filer that the 13H-A submission received was for an annual filing or a combined annual and fourth quarter filing.
  • Form TA-2 and its amendment has been updated to remove the Office of Thrift Supervision as an option for Item 3(a) .
  • Validations for Item 5 of Form TA-2 and its amendment have been updated.
  • The EDGAR portal has been updated to include a link to the Guidance for Filers and FAQs on the SEC’s website.
    For further information about this securities law blog post, please contact Brenda Hamilton, Securities Attorney at 101 Plaza Real S, Suite 202 N, Boca Raton, Florida, (561) 416-8956, or by email at [email protected].  This securities law blog post is provided as a general informational service to clients and friends of Hamilton & Associates Law Group and should not be construed as, and does not constitute legal advice on any specific matter, nor does this message create an attorney-client relationship.  Please note that the prior results discussed herein do not guarantee similar outcomes.Hamilton & Associates | Securities Attorneys
    Brenda Hamilton, Securities Attorney
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