Federal Register - February 3, 2021
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Source: Federal Register
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Federal Register / Vol. 86, No. 21 / Wednesday, February 3, 2021 / Rules and Regulations
relevant to the matter relevant persons. The Commission will send the notice and factual statement by electronic mail to the email address on record in the filers EDGAR account, and to the email address of any relevant persons. The Commission may also send, if necessary, the notice and factual statement by registered, certified, or express mail to the physical address on record in the filers EDGAR account and the physical address of any relevant persons.
c Nothing in this section prevents a filer from addressing an error or mistake in the filers submission by making a filer corrective disclosure.
By the Commission.
Dated: December 11, 2020.
Vanessa A. Countryman, Secretary.
FR Doc. 202028273 Filed 2221; 8:45 am BILLING CODE 801101P
SECURITIES AND EXCHANGE
COMMISSION
17 CFR Part 232
Release Nos. 3310902; 3490637; 39
2536, IC34137
Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID
Securities and Exchange Commission.
ACTION: Final rule.
AGENCY:
The Securities and Exchange Commission the Commission is adopting revisions to Volumes I and II
of the Electronic Data Gathering, Analysis, and Retrieval system EDGAR Filer Manual EDGAR Filer Manual or Filer Manual and related rules. The revisions substantially reduce the length of Volume I, and amend Volume I and related rules under Regulation ST, including provisions regarding electronic notarizations and remote online notarizations, which include electronic signatures. The revisions to Volume II reflect changes made to EDGAR on December 14, 2020.
The Commission is also providing notice and soliciting comments on the Form ID collection of information pursuant to the Paperwork Reduction Act of 1995.
DATES: Effective date: February 3, 2021.
The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of February 3, 2021.
Comments date: Comments regarding the Form ID collection of information
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SUMMARY:
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requirement for purposes of the Paperwork Reduction Act of 1995
should be received on or before March 1, 2021.
FOR FURTHER INFORMATION CONTACT: For questions regarding updates to the Filer Manual and the related rule amendments, please contact Rosemary Filou, Chief Counsel; Monica Lilly, Senior Special Counsel; or Jane Patterson, Senior Counsel; in the EDGAR Business Office at 202551
3900, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549. For questions regarding the submission form types allowing eligible business development companies and other closed-end investment companies to file automatic shelf registration statements and corresponding post-effective amendments and the submission form types for securities fee registration payments by closed-end investment companies, please contact Heather Fernandez in the Division of Investment Management at 202 5516708. For questions regarding the exhibits available for Regulation A form types, please contact Christian Windsor, Senior Special Counsel, in the Division of Corporation Finance at 202 551
3419. For questions regarding the internal control over financial reporting ICFR auditor attestation, please contact Christian Windsor, Senior Special Counsel, in the Division of Corporation Finance at 202 5513419, or for questions regarding the related changes to the EDGAR XBRL validation, please contact the Office of Structured Disclosure in the Division of Economic and Risk Analysis at 202 5515494.
SUPPLEMENTARY INFORMATION: We are adopting an updated EDGAR Filer Manual, Volume I: General Information, Version 36 December 2020 and Volume II: EDGAR Filing, Version 56 December 2020 and amendments to 17 CFR 232.10 Rule 10, 17 CFR 232.12 Rule 12, and 17
CFR 232 301 Rule 301 under 17 CFR
232.10 through 232.903 Regulation S
T. The updated Filer Manual volumes are incorporated by reference into the Code of Federal Regulations. The revisions substantially reduce the length of Volume I of the Filer Manual while retaining the procedural requirements for making electronic submissions on EDGAR. The Volume I revisions also clarify the legal consequences of misstatements or omissions of fact in EDGAR submissions, and inform filers of the Commissions authority regarding submissions on EDGAR. The Commission is also amending Volume I
of the Filer Manual and a related rule
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under Regulation ST to allow applicants for EDGAR access to use electronic notarizations and remote online notarizations, which include electronic signatures, in addition to notarizations that include manual signatures. Moreover, the Commission is amending the same rule to exempt the notarized document requirements for EDGAR access from certain signature requirements in another rule under Regulation ST. In addition, the Commission is amending a rule under Regulation ST to reflect the Commissions current hours for submission of electronic filings. As a separate matter, the Commission is adopting amendments to Volume II of the Filer Manual to reflect changes made to EDGAR on December 14, 2020.
Finally, the Commission is providing notice and soliciting comments on the Form ID collection of information pursuant to the Paperwork Reduction Act of 1995.
I. Background Volume I of the Filer Manual provides general information regarding electronic submissions to the Commission on EDGAR, including information concerning requirements for becoming an EDGAR filer.1 The Commission is substantially reducing the length of Volume I of the Filer Manual while retaining the procedural requirements for making electronic submissions on EDGAR. The revisions remove unnecessary and outdated content from Volume I, and relocate basic instructions and technical explanations to a newly designed web page on the Commissions website.
In addition, the Commission is:
Enhancing the statement in Volume I about the consequences of making false statements or omissions of fact in EDGAR submissions, and informing filers of the authority of the Commission to, and some of the circumstances in which the Commission may, prevent acceptance or dissemination of an attempted submission on EDGAR or revoke EDGAR access;
Amending Rule 10 of Regulation S
T 2 and Volume I of the Filer Manual to accept electronic notarizations and remote online notarizations, which include electronic signatures, in addition to notarizations that include 1 We originally adopted the Filer Manual on April 1, 1993, with an effective date of April 26, 1993.
Release No. 336986 Apr. 1, 1993 58 FR 18638.
The most recent update to the Filer Manual was Volume II: EDGAR Filing, Version 55 November 2020. See Electronic Signatures in Regulation ST
Rule 302, Release No. 3310889 Nov. 17, 2020 85
FR 78224 Electronic Signatures Release.
2 See 17 CFR 232.10b Rule 10b.
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