Form TA

–  Effective March 10, the Microsoft InfoPath files used for Forms TA-1, TA-1/A, TA-2, TA-2/A, and TA-W were retired. As of today, filers submit these forms using the web-based application provided by the SEC, which is accessed by selecting the “File Transfer Agent Forms” link on the EDGAR Filing Website. Filers can also construct XML submissions as described in the XML Technical Specification documents for Transfer Agent forms and submit them via the EDGAR Filing Website.

Changes to Form 10-D

–  EDGAR was updated to allow filers to submit duplicate filings for Form 10-D.

Regulation A

–  Filers can now provide up to four digits after the decimal point for the Price per Security field for submission form types DOS, DOS/A, 1-A, 1-A/A, 1-A POS, 1-K, 1-K/A, 1-Z, and 1-Z/A.

Form ABS-EE

–  The restriction on future dates for ABS-EE and ABS-EE/A in the End Period Date EDGAR Header Tag was removed.

–  ABS-EE filings will now be suspended if the EX-102 XML attachment fails validation.

–  The ABS-EE Asset Data schema was updated with the following changes: Debt Securities ABS Asset Class: Item 5(d)(8) was renamed to Actual Interest Collection Amount; and filers can provide future dates through December 31, 2150 in response to Asset Class Items that require a date.

Form X-17A-5

–  Filers can now use underscores ( _ ) in the Notification E-mail Address and Submission Contact E-mail Address fields.

–  All ASCII character validations were removed for broker-dealer entity name fields.

Form SDR

–  Submission form types SDR, SDR/A, SDR-A, and SDR-W no longer require the XBRL dei:EntityFilerCategory element to be provided for the following XBRL document types: EX-99.SDR K.INS (Traditional XBRL), EX-99.SDR L.INS (Traditional XBRL), EX-99.SDR K (Inline XBRL), and EX-99.SDR L (Inline XBRL).

Form N-MFP2

–  Filers can now choose both “Exempt Government” and “Treasury” as the category of the fund in Item A.10.

Other Changes

–  Filers can upload the notarized authentication document and the power of attorney as separate CORRESP documents when submitting a request to manually update their passphrase on the EDGAR Filer Management Website.

Version 4.18a of the GoFiler family addresses these changes to EDGAR. If you need to update your version of GoFiler, use the Check for Updates function within your software. For a full list of improvements that were made for Version 4.18a, read our release notes.

Sources:

EDGAR Filer Manuals (Volume I-III) (www.sec.gov)