EDGAR Release

EDGAR 18.4 - Phase 1

(December 2018)

Release 18.4 - Phase 1: On December 17, 2018, EDGAR Release 18.4 - Phase 1 introduced the following changes:

In Release No. 34-83663 (83 FR 38768) adopted July 18, 2018, the Commission adopted new Form ATS-N, which requires alternative trading systems (ATSs) that trade National Market System (NMS) stocks (NMS Stock ATS) to disclose information about the broker-dealer that operates the ATS (Broker-Dealer Operator), how the ATS operates, and the ATS-related activities of the Broker-Dealer Operator and its affiliates. EDGAR was updated to add the following new submission form types to EDGAR Online Forms:
oATS-N: Initial Form ATS-N (Rule 304(a)(1)(i))
oATS-N/MA: Material Amendment (Rule 304(a)(2)(i)(A))
oATS-N/UA: Updating Amendment (Rule 304(a)(2)(i)(B))
oATS-N/CA: Correcting Amendment (Rule 304(a)(2)(i)(C))
oATS-N/OFA: Order Display and Fair Access Amendment (Rule 304(a)(2)(i)(D))
oATS-N-C: Notice of Cessation (Rule 304(a)(3))
oATS-N-W: Withdrawal of Form ATS-N filing
The new Form ATS-N submission form types are accessible by selecting the ‘File Form ATS-N’ link on the EDGAR Filing Website. Additionally, filers may construct XML submissions for these submission form types by following the “EDGAR Form ATS-N XML Technical Specification” document available on the SEC's Public Website (https://www.sec.gov/info/edgar/tech-specs). See Chapter 3 (Index to Forms), Chapter 5 (Constructing Attached Documents and Document Types), Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions), Chapter 8 (Preparing and Transmitting Online Submissions), Appendix A (Messages Reported by EDGAR), and Appendix E (Automated Conformance Rules for EDGAR Data Fields) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”
In Release 33-10486 adopted April 25, 2018, the Commission revised item requirements to remove fields that ask for personally identifiable information.
oThe Social Security Number and Date of Birth fields will be removed from submission form types CFPORTAL, CFPORTAL/A, and CFPORTAL-W.
oThe Social Security Number, Date of Birth, and Foreign ID No. fields will be removed from submission form types MA, MA-A, and MA/A.
oThe Social Security Number field will be removed from submission form types MA-I and MA-I/A.
See Chapter 8 (Preparing and Transmitting Online Submissions) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”
Submission form types 1-A, 1-A/A, 1-A POS, DOS, and DOS/A were updated to rename "Income Statement Information" to "Statement of Comprehensive Income Information" in Item 1: Issuer Information. See Chapter 8 (Preparing and Transmitting Online Submissions) of the "EDGAR Filer Manual, Volume II: EDGAR Filing."
Section titles in Chapter 6 (Interactive Data) of "EDGAR Filer Manual Volume II: EDGAR Filing" were updated for readability and ease of understanding