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Federal Register / Vol. 86, No. 89 / Tuesday, May 11, 2021 / Rules and Regulations 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. Typically, 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. Due to pandemic conditions, however, access to the Commissions Public Reference Room is not permitted at this time.
V. Administrative Law Matters;
Effective and Compliance Dates Because the Filer Manual, and form 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.10 It follows that the amendments do not require analysis under requirements of the Regulatory Flexibility Act 11 or a report to Congress under the Small Business Regulatory Fairness Act.12
The effective date for the Filer Manual, Form ID, and related rule amendments is May 11, 2021. The compliance date for the updated Volume I of the Filer Manual, Form ID
amendments 17 CFR 239.63, 17 CFR
249.446, 17 CFR 269.7, and 17 CFR
274.402, and 17 CFR 232.10b is June 25, 2021.
In accordance with the APA,13 we find that there is good cause to establish an effective date less than 30 days after publication of these rules. 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 Filer Manual with the related system upgrades.

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VI. Statutory Basis We are adopting the amendments to Regulation ST and Form ID under the authority in Sections 6, 7, 8, 10, and 19a of the Securities Act of 1933,14
Sections 3, 12, 13, 14, 15, 15B, 23, and 35A of the Securities Exchange Act of 1934,15 Section 319 of the Trust Indenture Act of 1939,16 and Sections 8, 10 5

U.S.C. 553bA.
U.S.C. 601612.
12 5 U.S.C. 8043C.
13 5 U.S.C. 553d3.
14 15 U.S.C. 77f, 77g, 77h, 77j, and 77sa.
15 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78o4, 78w, and 78ll.
16 15 U.S.C. 77sss.
11 5

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15:58 May 10, 2021

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30, 31, and 38 of the Investment Company Act of 1940.17
List of Subjects 17 CFR Parts 232
Incorporation by reference, Reporting and recordkeeping requirements, Securities.
17 CFR Parts 239, 249, 269 and 274
Reporting and recordkeeping requirements, Securities.
Text of the Amendments In accordance with the foregoing, title 17, chapter II of the Code of Federal Regulations is amended as follows:
PART 232REGULATION ST
GENERAL RULES AND REGULATIONS
FOR ELECTRONIC FILINGS
1. The authority citation for part 232
continues to read, in part, as follows:

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.

232.10

2. Amend 232.10b by removing the phrase to whom the Commission previously has not assigned a Central Index Key CIK code,.
3. Revise 232.301 to read as follows:

PO 00000

PART 239FORMS PRESCRIBED
UNDER THE SECURITIES ACT OF 1933
4. The authority citation for part 239
continues to read, in part, as follows:

Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 77j, 77s, 77z2, 77z3, 77sss, 78c, 78l, 78m,78n, 78od, 78o7 note, 78u5, 78wa, 78ll, 78mm, 80a2a, 80a3, 80a8, 80a9, 80a10, 80a13, 80a24, 80a26, 80a29, 80a30, and 80a37; and sec. 107, Pub. L.
112106, 126 Stat. 312, unless otherwise noted.

239.63

Amended
5. In 239.63, amend the introductory text by removing the phrase to whom the Commission previously has not assigned a Central Index Key CIK
code,.
PART 249FORMS, SECURITIES
EXCHANGE ACT OF 1934

EDGAR Filer Manual.

Filers must prepare electronic filings in the manner prescribed by the EDGAR
Filer Manual, promulgated by the Commission, which sets forth the technical formatting requirements for electronic submissions. The requirements for becoming an EDGAR
Filer and updating company data are set forth in the updated EDGAR Filer Manual, Volume I: General Information, Version 37 March 2021.
The requirements for filing on EDGAR
are set forth in the updated EDGAR Filer Manual, Volume II: EDGAR Filing, Version 57 March 2021. All of these provisions have been incorporated by reference into the Code of Federal Regulations, which action was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552a and 1 CFR part 51. You must comply with these requirements in order for documents to be timely received and accepted. The 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 17 15

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. You can also inspect the document at the National Archives and Records Administration NARA. For information on the availability of this material at NARA, email fedreg.legal@
nara.gov, or go to: https
www.archives.gov/federal-register/cfr/
ibr-locations.html.

Amended

232.301

25805

U.S.C. 80a8, 80a29, 80a30, and 80a37.

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Fmt 4700

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6. The authority citation for part 249
continues to read, in part, as follows:

Authority: 15 U.S.C. 78a et seq. and 7201
et seq.; 12 U.S.C. 5461 et seq.; 18 U.S.C. 1350;
Sec. 953b, Pub. L. 111203, 124 Stat. 1904;
Sec. 102a3, Pub. L. 112106, 126 Stat. 309
2012; Sec. 107, Pub. L. 112106, 126 Stat.
313 2012, and Sec. 72001, Pub. L. 11494, 129 Stat. 1312 2015, unless otherwise noted.

249.446

Amended
7. In 249.446, amend the introductory text by removing the phrase to whom the Commission previously has not assigned a Central Index Key CIK code,.

PART 269FORMS PRESCRIBED
UNDER THE TRUST INDENTURE ACT
OF 1939
8. The authority citation for part 269
continues to read as follows:

Authority: 15 U.S.C. 77dddc, 77eee, 77ggg, 77hhh, 77iii, 77jjj, 77sss, and 78lld, unless otherwise noted.

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