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Federal Register / Vol. 86, No. 21 / Wednesday, February 3, 2021 / Rules and Regulations
Subpart AOrganization and Program Management
Investment Company Act of 1940 15
U.S.C. 80a1 et seq., and part 232 of this chapter Regulation ST to set the terms of, and grant or deny as appropriate, continuing hardship exemptions pursuant to 232.202 of this chapter from the electronic submission requirements of Regulation ST, after consultation with the division or office with primary regulatory oversight for the relevant filing.
c With respect to the Securities Act of 1933 15 U.S.C. 77a et seq., the Securities Exchange Act of 1934 15
U.S.C. 78a et seq., the Trust Indenture Act of 1939 15 U.S.C. 77aaa et seq., the Investment Company Act of 1940 15
U.S.C. 80a1 et seq., and part 232 of this chapter Regulation ST to take actions pursuant to 232.15 of this chapter to promote the reliability and integrity of submissions made through the Electronic Data Gathering, Analysis, and Retrieval system EDGAR.

1. The general authority citation for part 200, subpart A, continues to read as follows:

PART 232REGULATION ST
GENERAL RULES AND REGULATIONS
FOR ELECTRONIC FILINGS

Authority: 15 U.S.C. 77c, 77o, 77s, 77z 3, 77sss, 78d, 78d1, 78d2, 78o4, 78w, 78lld, 78mm, 80a37, 80b11, 7202, and 7211 et seq., unless otherwise noted.

Section 3 of the SarbanesOxley Act of 2002, 15 U.S.C. 7202.
List of Subjects 17 CFR Part 200
Administrative practice and procedure, Authority delegations Government agencies, Organization and functions Government agencies.
17 CFR Part 232
Incorporation by reference, Reporting and recordkeeping requirements, Securities.
For the reasons discussed above, we are amending 17 CFR chapter II as follows:
PART 200ORGANIZATION;
CONDUCT AND ETHICS; AND
INFORMATION AND REQUESTS

3. The general authority citation for part 232 continues to read as follows:

2. Add 200.3019 to read as follows:

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200.3019 Delegation of authority to Director of the EDGAR Business Office.

Pursuant to the provisions of Public Law 100181, 101 Stat. 1254, 1255 15
U.S.C. 78d1, 78d2, the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the Director of the EDGAR Business Office, to be performed by the Director or under the Directors direction by such other person or persons as may be designated from time to time by the Chairman of the Commission:
a With respect to the Securities Act of 1933 15 U.S.C. 77a et seq., the Securities Exchange Act of 1934 15
U.S.C. 78a et seq., the Trust Indenture Act of 1939 15 U.S.C. 77aaa et seq., the Investment Company Act of 1940 15
U.S.C. 80a1 et seq. and part 232 of this chapter Regulation ST, to grant or deny a request submitted pursuant to 232.13b of this chapter to adjust the filing date of an electronic filing, after consultation with the division or office with primary regulatory oversight for the relevant filing.
b With respect to the Securities Act of 1933 15 U.S.C. 77a et seq., the Securities Exchange Act of 1934 15
U.S.C. 78a et seq., the Trust Indenture Act of 1939 15 U.S.C. 77aaa et seq., the
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Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 77j, 77sa, 77z3, 77sssa, 78cb, 78l, 78m, 78n, 78od, 78wa, 78ll, 80a6c, 80a8, 80a29, 80a30, 80a37, 7201 et seq.; and 18
U.S.C. 1350, unless otherwise noted.

4. Add 232.15 to read as follows:

232.15

Administration of EDGAR.

a In its administration of EDGAR, the Commission may take the following actions to promote the reliability and integrity of submissions made through EDGAR.
1 If the Commission determines that a submission contains personally identifiable information that if released may result in financial or personal harm to an individual, which may comprise a single item of information or a combination of two or more items, the Commission may redact such information from the submission, prevent dissemination of the submission, and/or remove the submission from the Commissions public website, and may communicate as necessary with the filer to facilitate submission of a version in which such information is redacted;
2 The Commission may prevent the submission to EDGAR of any submission that poses a cybersecurity threat, including but not limited to, submissions containing any malware or virus, and may communicate as necessary with the filer regarding the submission;

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3 If the Commission determines that a submission has not been processed by EDGAR, or has been processed incorrectly by EDGAR, or contains an error attributable to the Commission staff, the Commission may correct and/
or prevent public dissemination of the submission and may communicate with the filer as necessary to facilitate the filers submission of an amendment to, or a notice of withdrawal of, the filers submission a filer corrective disclosure;
4 If the Commission determines that a submission is made under an incorrect EDGAR unique identifying number, the Commission may remove and/or prevent public dissemination of the submission and may communicate with the filer as necessary to facilitate a filer corrective disclosure;
5 If the Commission determines that a dispute exists regarding the authority to make submissions on behalf of a filer, the Commission may prevent a filers ability to make submissions until the dispute is resolved by the disputing parties or by a court of competent jurisdiction;
6 If the Commission has reason to believe that an attempted submission may be misleading or manipulative, the Commission may prevent acceptance or dissemination of the submission unless, after evaluating the circumstances surrounding the submission, the Commissions concerns are satisfactorily addressed;
7 If the Commission has reason to believe that a filer has made an unauthorized submission or attempted to make an unauthorized submission, the Commission may prevent any further submissions by the filer or otherwise remove the filers access to EDGAR; and 8 If the Commission otherwise has reason to believe that, to promote the reliability and integrity of submissions made through EDGAR, it must address a submission issue that cannot be addressed solely by filer corrective disclosure or by the actions set forth in paragraphs a1 through 7 of this section, the Commission may take such further steps as are appropriate to address the matter and communicate as necessary with the filer regarding the submission.
b The Commission may act under paragraph a of this section without providing advance notice to the filer or any other person. As soon as reasonably practicable after taking action under paragraph a of this section, the Commission will provide written notice and a brief factual statement of the basis for the action to the filer and any other person the Commission determines is
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