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August 2015, Issue 1 - Revised
(This revised version corrects the Form 13F hyperlink)
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What's in this Issue
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REGISTRANT REMINDER: Update EDGAR Contact Information
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NOW AVAILABLE: Peak Volume for EDGAR Filings 2015 (By Date and Form Type)
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SEC FILER SUPPORT PHONE LINE: Please listen closely, as menu option updates are forthcoming. (202) 551-8900
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COMING SOON: New Filer Support Web Pages
- Did You Include Your CIK on Your Filing Fee Payment?
- EDGAR's "Payor CIK" Feature Allows Registrants to Send a Single FEDWIRE or Check Fee Payment for Multiple CIKs
- Reminder to Deactivate Inactive Series and/or Classes
- Resource Links and Information for 13F Filers
- Resource Links and Information for 24F-2 Filers
- XBRL Taxonomy Update, March 9, 2015
Meet the Filer Support Teams
The Filer Report is published by a Team of Filer Support specialists representing several Divisions and Offices within the U.S. Securities and Exchange Commission (SEC), including Trading and Markets; Investment Management; Corporation Finance; Filing Fees Branch; and Office of Information Technology.
SEC Filer Support Teams have created The Filer Report to provide registrants with a central source of relevant news and information - delivered directly to EDGAR Filer inboxes - in an effort to better assist Filers during the Filing submission and EDGAR application processes. The Filer Report will be produced periodically to provide timely updates for Filers.
To ensure appropriate delivery of future issues of The Filer Report, we request that all Filers update their email addresses and contact information in EDGAR.
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Welcome to the first issue of The Filer Report, a new online newsletter for Filers of SEC registration statements and other filings.
The Filer Report will include current news, updates and announcements to assist Filers during the filing submission process. We welcome registrant input, and encourage Filers to submit questions, feedback or suggestions for future newsletter issues to: TheFilerReport@sec.gov. |
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Links
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Disclaimer: The Filer Support Teams have provided this information as a service to Filers. It is neither a legal interpretation nor a statement of SEC Policy. If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law.
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 REGISTRANT REMINDER: Update EDGAR Contact Information
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It is the obligation of the registrant to keep the company information on EDGAR current and valid. All changes to your company information are made immediately, except for changes to your company's name. Our Filer Support staff needs to review any change to your company's name to ensure that it is appropriate.
For more information about updating EDGAR Contact Information, please refer to Volume I, Chapter 5 ("Maintenance of Company Data") of the EDGAR Manual.
Quick Reference Guide for EDGAR Access Codes
 NOW AVAILABLE: Peak Volume for EDGAR Filings (2015)
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The SEC receives its highest volume of EDGAR Filings during the peak periods listed below. Please be aware that registrants needing filer support during these dates may experience longer than usu-al waits. (Dates below do not reflect actual due dates. Actual due dates generally are dependent upon a registrant's fiscal year-end.)
EDGAR 2015 Filing Peak Schedule by Due Date and Form Type
COMING SOON: New Filer Support Pages on SEC.gov
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Currently, the SEC Filer Support Teams are working to add content and improve the functionality and design of the current webpage Information for EDGAR Filers.
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 DID YOU INCLUDE YOUR CIK ON YOUR FILING FEE PAYMENT?
CIK Numbers MUST BE INCLUDED on all FEDWIRE, Check or Money Order Payments to Avoid Potential Filing Delays or Suspensions.
If a wire transfer of SEC filing fees does not contain a CIK number, the SEC may not be able to identify the payer, and the acceptance of filings may be delayed.
To ensure proper credit, add the CIK to all wire or check payments in the following format: CIKdddddddddd. (ADD registrant's SEC-assigned 10-digit CIK number after the letters CIK. In this example, "d" is the equivalent of one digit.) Do not add or insert spaces, commas, text, or special characters between the letters CIK and the 10-digit number. Place the letters CIK and actual number on one single line of the wire, and above the "BENEFICIARY" field.
Please refer to the SEC Payment Options webpage for complete fee payment instructions. If you have any questions or require additional information, contact the Fee Unit at (202) 551-8900, Option 1.
For proper formatting and examples please see Filing Fee FEDWIRE Tags and Terminology
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EDGAR's "Payor CIK" Feature Allows Registrants to Send a Single FEDWIRE or Check Fee Payment for Multiple CIKs
For registrants submitting multiple fee-bearing filings with multiple CIKs, it is not necessary to submit a separate wire or check payment with each filing. Instead, registrants can utilize the "PAYOR CIK" feature in EDGAR, which allows Filers to consolidate all fees due in one payment to a main PAYOR CIK. (Registrants filing 24F-2NT filings may find this option particularly useful when multiple funds and multiple CIKs are involved.)
After submitting the fee payment to this main account (PAYOR CIK), the "PAYOR CIK" account would be referenced in EDGAR when submitting subsequent filings with different CIKs. This feature eliminates the need to send additional checks and wires for each additional filing. The Payor CIK acts as the main account from which funds would be distributed to multiple Filer CIKs. (See "Payor CIK"; "Payor CCC"; and "Filer CIK" fields highlighted below.)
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Reminder to Deactivate Inactive Series and/or Classes
Investment companies registered on Forms N-1A, N-3, N-4 or N-6 are required by Rule 313 of Regulation S-T to keep their series and class (contract) identifiers up-to-date. Filers are reminded that they should deactivate for EDGAR purposes any series and/or classes (contracts) that cease to exist (e.g., target of a merger) or de-register after the last EDGAR filing is made for those series and/or classes (contracts). Registrant should also be aware that they must not deactivate the last remaining series until the registrant itself deregisters.
For a series or class (contract) that ceases to exist as a result of a merger, after the last EDGAR filing is made for the target series, the filer should mark in EDGAR the target as "merged", which will classify the series or class as inactive due to merger.
To deactivate a series and/or class (contract), filers should use the Series and Classes (Contracts) Information Page on the EDGAR Filing website (https://www.edgarfiling.sec.gov/). For further assistance with deactivating inactive series and/or classes, you may contact the Division of Investment Management's Branch of Disclosure Dissemination at (202) 551-8900, Option 5.
Resource Links and Information for 13F Filers
Form 13F is the reporting form filed by an institutional investment manager pursuant to Section 13(f) of the Securities Exchange Act and Rule 13f-1 thereunder. Form 13F contains certain information about U.S. exchange-traded equity securities for which a manager exercises investment discretion. It provides a snap-shot of a manager's quarter-end holdings in such equity securities. Form 13F is required to be filed within 45 days of the end of each calendar quarter.
The Form 13F filing deadlines for the quarters that end in the calendar years 2015-16 are:
| 1Q 2015 (March) |
May 15, 2015 (Friday) |
| 2Q 2015 (June) |
August 14, 2015 (Friday) |
| 3Q 2015 (September) |
November 16, 2015 (Monday) |
| 4Q 2015 (December) |
February 16, 2016 (Tuesday) |
| 1Q 2016 (March) |
May 16, 2016 (Monday) |
| 2Q 2016 (June) |
August 15, 2016 (Monday) |
| 3Q 2016 (September) |
November 14, 2016 (Monday) |
| 4Q 2016 (December) |
February 14, 2017 (Tuesday) |
The SEC's Division of Investment Management has issued Frequently Asked Questions to help institutional investment managers that are required to file Form 13F. These FAQs represent the staff's views. They are not a rule, regulation, or statement of the Securities and Exchange Commission. The Commission has neither approved nor disapproved this information.
Below are additional resource links and SEC contact information for filing Form 13F.
Resource Links for filing Form 13F:
Form 13F
Amendments are filed using Form 13F-HR/A or 13F-NT/A. Form 13F-HR/A and 13F-NT/A are accessible by selecting the 'File Form 13F' link on the EDGAR Filing Website.
Preparing and Transmitting Online Submissions - Section 9.2.5 and Section 9.2.6 of EDGAR Filer Manual (Volume II).
Filings - Attaching & Submitting
Form ID Authentication Document
Form ID FAQ
EDGAR Form 13F XML Technical Specification
Creating a 13F XML Information Table using Excel
SEC Contact Information for filing Form 13F:
XML Questions - Technical Support (202) 551-8900, Option 3
Interpretive Advice/Confidential Treatment - Division of Investment Management Chief Counsel's Office/Public Inquiry Line (202) 551-6865 or IMOCC@sec.gov
For further assistance with filing Form 13F, you may contact the Division of Investment Management's Branch of Disclosure Dissemination at (202) 551-8900, Option 5.
Resource Links and Information for 24F-2 Filers
Form 24F-2 is the form used by an open-end management investment company, face amount certificate company, or unit investment trust for filing annual notices of securities sold pursuant to Rule 24f-2 under the Investment Company Act of 1940.
Below are helpful resource links and SEC contact information for filing Form 24F-2.
Resource Links for filing Form 24F-2:
Form 24F-2 (Form 24F-2NT)
Amendments are filed on Form 24F-2NT/A. Form 24F-2NT/A is accessible by selecting the 'File Form 24F-2' link on the EDGAR Filing Website.
Current Fee Rate
SEC Payment Options
View Account Balance, Activity and Amount of Last Deposit
Request a Refund of Unused Money
Calendar of Peaks/Filing Due Dates
SEC Contact Information for filing Form 24F-2:
For further assistance with filing Form 24F-2, you may contact the Division of Investment Management's 24F-2 Inquiry Line at (202) 551-6703.
Filing Fee/Account Balance Questions - Fee Unit at (202) 551-8900, Option 1
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XBRL Taxonomy Update, March 9, 2015
On March 9, 2015, the EDGAR system was upgraded to Release 15.0.3 and now supports the US GAAP 2015 and 2015 EXCH taxonomies. The 2015 US GAAP financial reporting taxonomy reflects the same taxonomy that FASB made available on its website on December 18, 2014. The 2015 EXCH taxonomy reflects the same taxonomy the staff posted for public comment on September 2, 2014. The staff does not anticipate that the removal of the 2013 US GAAP financial reporting taxonomy and the 2013 EXCH taxonomy will occur before June 2015.
Please see http://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete listing of supported standard taxonomies.
The staff strongly encourages companies to use the most recent version of taxonomy releases for their XBRL exhibits to take advantage of the most up-to-date tags related to new accounting standards and other improvements. The staff suggests that filers consider transitioning to the 2015 taxonomies for the earliest reporting period that ends after March 9, 2015, but not for reporting periods that end before March 9, 2015.
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