17 CFR Part 232 - REGULATION S-T—GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS
- General
-
Electronic Filing Requirements
- § 232.100 — Persons and entities subject to mandated electronic filing.
- § 232.101 — Mandated electronic submissions and exceptions.
- § 232.102 — Exhibits.
- § 232.103 — Liability for transmission errors or omissions in documents filed via EDGAR.
- § 232.104 — Unofficial PDF copies included in an electronic submission.
- § 232.105 — Limitation on use of HTML documents and hypertext links.
- § 232.106 — Prohibition against electronic submissions containing executable code.
- Hardship Exemptions
-
Preparation of Electronic Submissions
- § 232.301 — EDGAR Filer Manual.
- § 232.302 — Signatures.
- § 232.303 — Incorporation by reference.
- § 232.304 — Graphic, image, audio and video material.
- § 232.305 — Number of characters per line; tabular and columnar information.
- § 232.306 — Foreign language documents and symbols.
- § 232.307 — Bold face type.
- § 232.308 — Type size and font; legibility.
- § 232.309 — Paper size; binding; sequential numbering; number of copies.
- § 232.310 — Marking changed material.
- § 232.311 — Documents submitted in paper under cover of Form SE.
- § 232.312 — Accommodation for certain information in filings with respect to asset-backed securities.
- § 232.313 — Identification of investment company type and series and/or class (or contract).
- § 232.314 — Accommodation for certain securitizers of asset-backed securities.
- XBRL-Related Documents
- EDGAR Functions
-
Foreign Private Issuers and Foreign Governments
- §§ 232.600-232.903 — [Reserved]
Title 17 published on 2012-04-01
The following are only the Rules published in the Federal Register after the published date of Title 17.
For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.
GPO FDSys XML | Text type regulations.gov FR Doc. 2013-01058 RIN Release Nos. 33-9382 34-68644 39-2488 IC-30348 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: January 23, 2013. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of January 23, 2013. 17 CFR Parts 232, 239, 249, 269, 274 The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are being made primarily to introduce the new EDGARLink Online submission type IRANNOTICE; and support PDF as an official filing format for submission types 497AD, 40-17G, 40-17G/A, 40-17GCS, 40-17GCS/A, 40-24B2, and 40-24B2/A. The EDGAR system is scheduled to be upgraded to support this functionality on January 14, 2013.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-24998 RIN Release Nos. 33-9364 34-67978 39-2486 IC-30227 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective October 15, 2012. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of October 15, 2012. 17 CFR Part 232 The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are being made primarily to support public dissemination of previously submitted draft registration statements either under the JOBS Act or the Division of Corporation Finance's foreign private issuer policy; support PDF as an official filing format for submission type 40-33 and 40-33/A; support changes in the beneficiary account and receiver American Bank Association number and name for fee payments made for filings; and allow a future period date up to the next business date for Form 8-K. The EDGAR system is scheduled to be upgraded to support this functionality on October 1, 2012.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-21805 RIN Release Nos. 33-9353 34-67747 39-2485 IC-30185 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: September 6, 2012. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of September 6, 2012. 17 CFR Part 232 The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are being made primarily to support submission of Confidential Registration Statements; require Form ID authentication documents in PDF format; automate LTID generation for Large Trader registrations; support minor updates to Form D; remove superseded XBRL Taxonomies; remove the OMB expiration date from Form TA-1, TA-2, TA-W, 25-NSE; and request of unused funds. The EDGAR system is scheduled to be upgraded to support this functionality on July 2, 2012.
This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.
This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].
It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.
§ 77f - Registration of securities
§ 77g - Information required in registration statement
§ 77h - Taking effect of registration statements and amendments thereto
§ 77j - Information required in prospectus
§ 77s - Special powers of Commission
15 USC § 77z–3 - General exemptive authority
§ 77sss - Rules, regulations, and orders
§ 78c - Definitions and application
15 USC § -
§ 78m - Periodical and other reports
§ 78n - Proxies
15 U.S.C. § -
§ 78w - Rules, regulations, and orders; annual reports
15 USC § -
15 USC § 80a–6 - Exemptions
15 USC § 80a–8 - Registration of investment companies
15 USC § 80a–29 - Reports and financial statements of investment companies and affiliated persons
15 USC § 80a–30 - Accounts and records
15 USC § 80a–37 - Rules, regulations, and orders
§ 7201 - Definitions
§ 7202 - Commission rules and enforcement
§ 1350 - Failure of corporate officers to certify financial reports
Title 17 published on 2012-04-01
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 232 after this date.
GPO FDSys XML | Text type regulations.gov FR Doc. 2013-11921 RIN Release Nos. 33-9403 34-69568 39-2490 IC-30515 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective May 21, 2013. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of May 21, 2013. 17 CFR Part 232 The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are being made primarily to implement the new Form 13F online application and to support US GAAP 2013 Taxonomy. The EDGAR system is scheduled to be upgraded to support this functionality on May 20, 2013.
GPO FDSys XML | Text type regulations.gov FR Doc. 2013-01058 RIN Release Nos. 33-9382 34-68644 39-2488 IC-30348 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: January 23, 2013. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of January 23, 2013. 17 CFR Parts 232, 239, 249, 269, 274 The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are being made primarily to introduce the new EDGARLink Online submission type IRANNOTICE; and support PDF as an official filing format for submission types 497AD, 40-17G, 40-17G/A, 40-17GCS, 40-17GCS/A, 40-24B2, and 40-24B2/A. The EDGAR system is scheduled to be upgraded to support this functionality on January 14, 2013.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-24998 RIN Release Nos. 33-9364 34-67978 39-2486 IC-30227 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective October 15, 2012. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of October 15, 2012. 17 CFR Part 232 The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are being made primarily to support public dissemination of previously submitted draft registration statements either under the JOBS Act or the Division of Corporation Finance's foreign private issuer policy; support PDF as an official filing format for submission type 40-33 and 40-33/A; support changes in the beneficiary account and receiver American Bank Association number and name for fee payments made for filings; and allow a future period date up to the next business date for Form 8-K. The EDGAR system is scheduled to be upgraded to support this functionality on October 1, 2012.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-21805 RIN Release Nos. 33-9353 34-67747 39-2485 IC-30185 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: September 6, 2012. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of September 6, 2012. 17 CFR Part 232 The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are being made primarily to support submission of Confidential Registration Statements; require Form ID authentication documents in PDF format; automate LTID generation for Large Trader registrations; support minor updates to Form D; remove superseded XBRL Taxonomies; remove the OMB expiration date from Form TA-1, TA-2, TA-W, 25-NSE; and request of unused funds. The EDGAR system is scheduled to be upgraded to support this functionality on July 2, 2012.