SEC Modifies EDGAR System on Monday, December 17

On Monday, December 17, the Securities and Exchange Commission released changes to its EDGAR systems, in compliance with rule changes recently approved by the Commission.

CT will keep you in full compliance with these rule changes by releasing an upgrade to EDGAR Ease+ as soon as the new version of software has been thoroughly tested against the new programming in EDGAR Release 9.8.

You can expect to receive your upgrade notice no earlier than Wednesday, December 19, and no later than Thursday, December 20.

The new version of EDGAR Ease+ will contain the following enhancements:

 

1.   In compliance with rule changes related to Smaller Reporting Company Regulatory Relief and Simplification, which may be found in Release No. 33-8819; 34-56013; 39-2447; File No. S7-15-0 on the SEC website at:  http://www.sec.gov/rules/proposed/2007/33-8819.pdf:

 

>    An option identifying the filer as a “Smaller Reporting Company” will be added to Submission Properties dialogs for submission types S-1, S-1/A, S-1MEF, S-3, S-3/A, S-3D, S-3DPOS, S-3MEF, S-8, S-8POS, S-4, S-11/A, S-11MEF, S-4POS, S-4/A, S-4EF, S-4EF/A, S-4MEF, S-11, 10-K, 10-K/A, 10-KT, 10-KT/A, 10-Q, 10-Q/A, 10-QT, 10-QT/A, 10-12B, 10-12B/A, 10-12G, and 10-12G/A.  

  

2.   In compliance with rule changes related to Electronic Submission of Applications for Orders under the Investment Company Act and Filings Made Pursuant to Regulation E, which may be found in Release Nos. 33-8859; 34-56732; IC-28042 File No. S7-25-07 on the SEC website at:  http://www.sec.gov/rules/proposed/2007/33-8859.pdf:

 

>    For applications for orders under any section of the Investment Company Act of 1940, the following submission types will be added to EDGAR Ease+ Submission Properties dialogs:  40-OIP, 40-OIP/A, 40-6B, 40-6B/A, 40-APP, 40-APP/A.  Until such time as the SEC may mandate electronic filing for these new submission types, these new forms may be used for electronic filing on a voluntary basis.

 

>    For Regulation E filings by Small Business Investment Companies (SBIC’s) and Business Development Companies (BDC’s), the following submission types will be added to EDGAR Ease+ Submission Properties dialogs:  1-E, 1-E/A, 2-E, 2-E/A, 2-E AD, 2-E AD/A.  Until such time as the SEC may mandate electronic filing for these new submission types, these new forms may be used for electronic filing on a voluntary basis.

 

If you are using EDGAR Ease+ 2.0.0 or above, your software will alert you when the new upgrade is available on the website, and it will not be necessary for you to enter your Customer Number or Zip Code to download your new software.  CT will also send out email announcements alerting users that the new upgrade is available for download, and will support users in accessing the secure download pages by logging in with their Customer Number and Zip Code.

 

If you have any questions regarding this upgrade, please contact our Technical Support Team at 888-89EDGAR (select Option 2) or support@edgarease.com.

 

We appreciate your business and we thank you for your continued support of CT EDGAR Solutions.