New EDGAR Forms

For Security-based Swap Dealers and Major Security-based Swap Participants:

The following new forms pertain to security-based swap dealers and major security-based swap participants, pursuant to Section 15F of the Exchange Act:

• SBSE: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants
• SBSE/A: Amendment to an Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants
• SBSE-A: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer or Major Swap Participant
• SBSE-A/A: Amendment to an Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer or Major Swap Participant
• SBSE-BD: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers
• SBSE-BD/A: Amendment to an Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers
• SBSE-C: Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants
• SBSE-W: Request for Withdrawal from Registration as a Security-based Swap Dealer or Major Security-based Swap Participant

These forms can be accessed on the EDGAR Filing Website by clicking on the File SBS Entity Forms link in the left navigation bar found on that website.

For Broker-dealers:

The following new forms pertain to submitting the Risk Assessment Report for Brokers and Dealers Form 17-H via EDGAR:

• 17HACON: Confidential broker dealer annual 17-H report
• 17HACON/A: Amendment for confidential broker dealer annual 17-H report
• 17HQCON: Confidential broker dealer quarterly 17-H report
• 17HQCON/A: Amendment for confidential broker dealer quarterly 17-H report

These forms can be accessed on the EDGAR Filing Website by clicking on the File 17-H link in the left navigation bar found on that website.

Changes to Form C

Changes were made to Form C as follows: 

–  The "Current Number of Employees" field on the "Disclosure Requirements" screen of Forms C, C/A, and C-U has been updated to allow a value of zero.

–  The "Jurisdiction of Incorporation/Organization" field on the "Issuer Information" screen for Forms C, C/A, C-U, C-AR, C-AR/A, and C-TR has been updated to only list U.S. States, District of Columbia, and U.S. Territories.

Changes to Form N-MFP1

Changes were made to Form N-MFP1 as follows:

–  Item C.8.d will now allow a future date up to 12/31/2500.

Changes to Exhibit EX-102 (Asset Data File) for Form ABS-EE

Changes were made to the Asset Date File exhibit as follows:

–  The length of certain fields was extended.

–  "0" is now a valid value for certain fields.

Version 4.13a of the GoFiler family (released April 25, 2016) addresses some of these changes to EDGAR. Due to the lengthiness of the new forms, the SBS Entity Forms will be available in a subsequent release of GoFiler Complete. Form 17-H will be available as a Beta feature only. 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 4.13a, read our release notes.

Sources:

EDGAR Filer Manual (Volume II), Version 36