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Federal Register / Vol. 86, No. 21 / Wednesday, February 3, 2021 / Rules and Regulations K, 1K/A,1SA, 1SA/A, 1U, and 1U/
A. The ADD EXHB exhibit will replace the EX1A15 ADD EXHB, EX1K15 ADD EXHB, EX1SA15 ADD
EXHB, and EX1U15 ADD EXHB
exhibits. To implement the change, EDGAR Release 20.4 removes the following exhibits:
EX1A15 ADD EXHB from DOS, DOS/A, 1A, 1A/A, and 1A POS form types;
EX1K15 ADD EXHB from 1K
and 1K/A form types;
EX1SA15 ADD EXHB from 1
SA and 1SA/A form types; and EX1U15 ADD EXHB from 1U
and 1U/A form types.
See Appendix E Automated Conformance Rules for EDGAR Data Fields of the EDGAR Filer Manual, Volume II: EDGAR Filing.
Finally, Volume II of the EDGAR Filer Manual has been revised to update contact information for certain divisions and offices. See Chapter 2 Quick Guide to EDGAR Filing of the EDGAR Filer Manual, Volume II: EDGAR Filing.

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V. Amendments to Rule 301, Regulation ST
Along with the adoption of the updated Filer Manual, we are amending Rule 301 of Regulation ST to provide for the incorporation by reference into the Code of Federal Regulations of the current revisions. This incorporation by reference was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552a and 1 CFR part 51.
The updated EDGAR Filer Manual is available at https www.sec.gov/edgar/
filer-information/current-edgar-filermanual. The EDGAR Filer Manual is also available for website viewing and printing in the Commissions Public Reference Room, 100 F Street NE, Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m.
VI. Administrative Law Matters Because the Filer Manual and rule amendments relate solely to agency procedures or practice and do not substantially alter the rights and obligations of non-agency parties, publication for notice and comment is not required under the Administrative Procedure Act APA.26 It follows that the amendments do not require analysis under requirements of the Regulatory Flexibility Act 27 or a report to Congress under the Small Business Regulatory Fairness Act.28
The effective date for the updated Filer Manual and the related rules is 26 5

U.S.C. 553bA.
27 5 U.S.C. 601612.
28 5 U.S.C. 8043C.

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February 3, 2021. In accordance with the APA,29 we find that there is good cause to establish an effective date less than 30 days after publication of these rules. For the revisions to Volume I of the Filer Manual, the changes that we are adopting today do not impose new burdens. The Volume I revisions retain the procedural requirements for making electronic submissions on EDGAR. The revisions remove unnecessary and outdated content from the Filer Manual and relocate elementary instructions and explanations to a web page on the Commissions website. Additionally, the Volume I revisions clarify the message in the Filer Manual concerning the consequences of making false statements or omissions of fact in EDGAR submissions, and inform filers of the Commissions authority regarding submissions on EDGAR. The Volume I
revisions and related rule amendments generally relieve restrictions by incorporating the acceptance of electronic notarizations and remote online notarizations, which include electronic signatures, in addition to manual signatures and manual notarizations, to support requests for EDGAR access. For the revisions to Volume II of the Filer Manual, the Commission believes that establishing an effective date less than 30 days after publication of these rules is necessary to coordinate the effectiveness of the updated Volume II of the Filer Manual with the related system upgrades. We therefore believe that the advance publication of the updated Filer Manual and the related rules prior to the effective date is unnecessary.
VII. Proposed Collection and Comment Request for Form ID
Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995
44 U.S.C. 3501 et seq., the Commission is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.
Form ID OMB Control No. 3235
0328 must be completed and filed with the Commission by all individuals, companies, and other organizations who seek access to file electronically on the Commissions primary electronic filing system, EDGAR. Those seeking access to file on EDGAR typically include those who are required to make certain disclosures pursuant to the federal securities laws. The information provided on Form ID is an essential part of the security of EDGAR. Form ID is a 29 5

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not a public document because it is used solely for the purpose of screening applicants and granting access to EDGAR. Form ID must be submitted whenever an applicant seeks an EDGAR
identification number and access codes to file on EDGAR. The Commission may consider enhancing the EDGAR access process to require filers that already have EDGAR identification numbers but do not have EDGAR access codes to submit a Form ID to obtain access codes to file on EDGAR. If these enhancements become effective, we estimate that approximately 48,493 filers will file Form ID annually and that it will take approximately 0.15 hours per response to prepare for a total of 7,274 annual burden hours. The estimate includes the number of filers without identification numbers and filers with identification numbers that seek to obtain access codes for purposes of submitting electronic filings on EDGAR.
An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid control number.
Written comments are invited on: i Whether this proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;
ii the accuracy of the agencys estimate of the burden imposed by the collection of information; iii ways to enhance the quality, utility, and clarity of the information collected; and iv ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology. Consideration will be given to comments and suggestions submitted in writing.
Please direct your written comments to David Bottom, Director/Chief Information Officer, Securities and Exchange Commission, c/o Cynthia Roscoe, 100 F Street NE, Washington, DC 20549 or send an email to: PRA_
Mailbox@sec.gov.
VIII. Statutory Basis We are adopting the amendments to Regulation ST under the authority in Sections 6, 7, 8, 10, and 19a of the Securities Act of 1933,30 Sections 3, 12, 13, 14, 15, 15B, 23, and 35A of the Securities Exchange Act of 1934,31
Section 319 of the Trust Indenture Act of 1939,32 and Sections 8, 30, 31, and 38
30 15

U.S.C. 77f, 77g, 77h, 77j, and 77sa.
U.S.C. 78c, 78l, 78m, 78n, 78o, 78o4, 78w, and 78ll.
32 15 U.S.C. 77sss.
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