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Federal Register / Vol. 86, No. 21 / Wednesday, February 3, 2021 / Rules and Regulations manual signatures, to support requests for EDGAR access;
Amending Rule 10 of Regulation S
T to exclude the authentication document in Rule 10b from the signature requirements of 17 CFR
232.302 Rule 302; 3
Amending Rule 12 of Regulation S
T to reflect the Commissions current hours for submission of electronic filings and to conform to the Filer Manual; 4
Making amendments to Volume II
of the Filer Manual corresponding to the EDGAR updates in Release 20.4; and Providing notice and soliciting comments on potential changes to the burden estimates associated with the Form ID collection of information pursuant to the Paperwork Reduction Act of 1995.5
II. Amendments to Volume I of the Filer Manual and Rule 10 of Regulation S
T

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The updated Volume I of the Filer Manual retains and streamlines procedural requirements pertaining to EDGAR filing times, access, maintaining accurate information, paying filing fees, and prohibiting submission of social security numbers to EDGAR. The updated Volume I omits extensive stepby-step instructions and elementary technical explanations including EDGAR screen shots and error messages, an explanation of browsers, and a glossary of terms. The Commission is making accessible, user-friendly instructions and information available to filers on the recently revised EDGAR
Information for Filers web page on SEC.gov.6 Moreover, filers may consult relevant topical Commission division or office web pages.7
The Commission is also removing technical explanations from Volume I of the Filer Manual that existed to assist a sub-section of filers who opted to use private industry software to construct 3 See 17 CFR 232.10c Rule 10c; see also Rule 302.
4 See 17 CFR 232.12c Rule 12c.
5 44 U.S.C. 3501 et seq.
6 See EDGARInformation for Filers available at https www.sec.gov/edgar/filer-information. The Commission staff has improved the architecture and content on the EDGAR Information for Filers web page, including the addition of an extensive How Do I guide which contains some of the information that previously was included in the EDGAR Filer Manual: Volume I General Information, Version 35. See How Do I guide available at https
www.sec.gov/edgar/filer-information/how-do-i.
7 For example, filers may consult the Series and Class Contract Identifiers information page on SEC.gov available at https www.sec.gov/info/
edgar/ednews/seriesclassfaq063006.htm for guidance on this topic, and the Filing Fees Branch homepage available at https www.sec.gov/page/
ffbsectionlanding for information about filing fees.

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filings outside of EDGAR, including using the Extensible Markup Language XML format.8 These technical specifications are available to filers on the EDGAR Information for Filers web page on SEC.gov.9
Further, the updated Volume I of the Filer Manual clarifies the statement informing filers of the consequences of false statements or omissions of fact in submissions to EDGAR. Previously, Volume I only referenced potential criminal liability for intentionally making false statements or omissions of fact in submissions to the Commission in violation of 18 U.S.C. 1001.10
However, it is also possible that false statements or omissions of fact in submissions to EDGAR could give rise to violations of other criminal or civil statutes or regulations, including the antifraud and civil liability provisions of the federal securities laws.11
Accordingly, we have amended Volume I of the Filer Manual to make clear that misstatements or omissions of fact in a submission to the Commission on EDGAR may constitute a criminal violation under 18 U.S.C. 1001 and/or a violation of other criminal or civil laws.12 Moreover, the Commission has added an explicit notice to filers in Volume I of the authority of, and certain circumstances in which the Commission may, prevent acceptance or dissemination of an attempted submission on EDGAR or revoke EDGAR access.13
Rule 10 of Regulation ST previously required filers to submit a manually signed and notarized document as part of the application for EDGAR access.14
Volume I further mandated that the filers authorized signatory sign and have notarized a printed copy of the completed online application.15 Since these provisions were adopted, technological advancements have made electronic notarization and remote online notarization, which include electronic signatures, possible, and electronic notarization and remote 8 See EDGAR Filer Manual, Volume I, Version 35, Section 6.4.
9 Certain technical specifications are replicated in Volume II of the Filer Manual. See, e.g., EDGAR
Filer Manual, Volume II, Version 54, Section 9.
10 See EDGAR Filer Manual, Volume I, Version 35, Section 3.1.
11 See, e.g., Sections 11, 12a2, and 17a2 of the Securities Act of 1933.
12 See EDGAR Filer Manual, Volume I, Version 36, Section 1.
13 See EDGAR Filer Manual, Version 36, Volume I, Section 1. Rule 15 specifies in more detail the Commissions ability to prevent submissions to EDGAR. See Release No. 3310901 Dec. 11, 2020.
14 See Rule 10b.
15 See EDGAR Filer Manual, Volume I, Version 35, Section 3.2.2.2.4.

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online notarization are now recognized in most states.16 These methods of notarization will provide an efficient means of authenticating signatures in connection with requests for EDGAR
access and avoid the challenges associated with disruptions to in-person notary services caused by natural disasters, pandemics, and similar events. Remote online notarization in particular would allow filers to notarize EDGAR access requests from a convenient location using a stateregistered remote notary public.
Therefore, the Commission is updating Regulation ST and Volume I
of the Filer Manual to clarify that the Commission will accept electronic notarization and remote online notarization, which include electronic signatures, in connection with EDGAR
access requests submitted pursuant to Rule 10 of Regulation ST.17 In addition, the Commission is permitting foreign filers to use the foreign local equivalent of a notary public or to obtain remote online notarization recognized by the law of any state or 16 Currently, over 36 states have enacted electronic notarization laws, while 25 states have enacted remote online notarization laws certain of the latter group of states have not yet fully implemented remote online notarization. In addition, due to the COVID19 pandemic, 34 states including several that have not yet fully implemented remote online notarization have issued emergency orders temporarily authorizing notaries to perform remote online notarization. See What States Allow Electronic Notary, DocVerify, https www.docverify.com/Products/E-Notaries/
What-States-Allow-Electronic-Notary; Remote Notarization: What You Need to Know, National Notary Association November 13, 2020, https
www.nationalnotary.org/notary-bulletin/blog/2018/
06/remote-notarization-what-you-need-to-know;
Answers To Urgent Questions Notaries Are Asking About Remote Online Notarization, National Notary Association Aug. 14, 2020, https
www.nationalnotary.org/notary-bulletin/blog/2020/
03/answers-urgent-questions-notaries-ron.
17 See amended Rule 10b removing the manual signature requirement for EDGAR access requests and EDGAR Filer Manual, Volume I, Version 36, Section 3 The notarized signature of an authorized individual must be obtained by manual, electronic, or remote online notarization recognized by the law of any state or territory of the United States or the District of Columbia, and must include a manual or electronic signature of the authorized individual, as required by the notary for the type of notarization at issue. Foreign filers who do not have access to a United States notary public must use the foreign local equivalent of a notary public or obtain notarization by a remote online notary recognized by the law of any state or territory of the United States or the District of Columbia.. Under the amendments, remote online notarization valid in any of the 50 states, United States territories, or the District of Columbia would be accepted, regardless of the location of the applicant, under the theory that a validated notary in any of these locations would suffice for federal identity verification purposes.

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