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March 2009 
xv 
EDGAR Filer Manual (Volume II) 
10.  FILER-CONSTRUCTED XFDL/XML SUBMISSIONS............................................10-1 
10.1 Filer-Constructed XFDL Technical Specifications..................................................10-1 
10.2 Filer-Constructed XML Technical Specifications...................................................10-1 
11.  DETERMINING THE STATUS OF YOUR FILING.................................................11-1 
11.1 Filing Date of Electronically Transmitted Submissions...........................................11-1 
11.2 Receiving E-Mail Status of Filings from the SEC...................................................11-1 
11.2.1 How EDGAR Uses the Internet for E-Mail.................................................11-1 
11.2.2 How Mail Is Addressed to the Internet Address..........................................11-2 
11.3 Accessing Submission Information..........................................................................11-2 
11.4 Return Copy Support................................................................................................11-4 
11.4.1 Requesting a Return Copy via EDGARLink...............................................11-4 
11.4.2 Requesting a Return Copy via an Ownership Submission..........................11-5 
11.4.3 Who Can Access Return Copies..................................................................11-5 
11.4.4 Retrieve Return Copies................................................................................11-6 
11.5 Submission Information...........................................................................................11-7 
11.5.1 Retrieving Submission Notification.............................................................11-8 
11.5.2 Retrieve Module/Segment Information.....................................................11-10 
11.5.3 Module Information...................................................................................11-11 
11.5.4 Segment Information.................................................................................11-13 
11.6 Getting Help with the Content of Filings or Exemptions/Adjustments.................11-14 
APPENDIX A. MESSAGES REPORTED BY EDGAR.......................................................A-1 
APPENDIX B. FREQUENTLY ASKED QUESTIONS........................................................B-1 
APPENDIX C. EDGAR SUBMISSION TEMPLATES........................................................C-1 
APPENDIX D. PAPER FORMS.............................................................................................D-1 
APPENDIX E. AUTOMATED CONFORMANCE RULES FOR TEMPLATE FIELDS.E-1 
APPENDIX F. GLOSSARY OF COMMONLY USED TERMS, ACRONYMS AND 
ABBREVIATIONS............................................................................................................F-1 
APPENDIX G. FORM 13F SPECIAL ELECTRONIC FILING INSTRUCTIONS.........G-1 
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EDGAR Filer Manual (Volume II) 
xvi 
March 2009 
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March 2009 
xvii 
EDGAR Filer Manual (Volume II) 
PREFACE 
Welcome to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system of the U.S. 
Securities and Exchange Commission (SEC). EDGAR provides an electronic filing process for 
filers and filing agents submitting documents under the Securities Act of 1933, the Securities 
Exchange Act of 1934, the Trust Indenture Act of 1939, and the Investment Company Act of 
1940 (collectively, "Acts"). This manual explains how you can file electronically with the SEC. 
The SEC accepts electronic submissions through the Internet or direct dial transmissions. 
EDGAR will disseminate that information and you may view electronically submitted filings in 
the SEC's Public Reference Room in Washington, DC, through commercial dissemination 
services, or by using the SEC's Public Website. 
Do you need to file through EDGAR? 
Whether or not you need to submit filings on EDGAR will depend on the form type(s) you are 
required to submit. For those requirements, refer to Regulation S-T, Rule 101 [Mandated 
Electronic Submissions and Exceptions]. 
Rules Governing Forms and Filing Information 
EDGAR provides you with an electronic way to submit information to us. It does not change 
the content of what you submit. Regulation S-T mandates electronic submissions of filings by 
all domestic and foreign registrants. Regulation S-T also provides the general requirements and 
procedures for electronic filing. You may find copies of Regulation S-T in the Federal Register 
and the Code of Federal Regulations (17 CFR Part 232) in our Public Reference Rooms. You 
will also find Regulation S-T under the Division of Corporation Finance area on the SEC's 
Public Website under Forms and Associated Regulations, EDGAR. 
We have identified the following other laws and releases that affect electronic filing. You may 
obtain copies of this material from the SEC’s Public Website. 
Securities and Exchange Commission Authorization Act of 1987 -- Public Law 100-181 
(December 4, 1987). (Section 35A of Securities Exchange Act of 1934.) 
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March 2009 
xix 
EDGAR Filer Manual (Volume II) 
Releases
[XX-XXXX  
Issued: XX/XX/XX 
Effective: XX/XX/XX] 
[Release numbers and 
dates will be added prior 
to the publication of the 
revisions to the filer 
manual, unless such 
revisions must be 
published prior to 
availability of the 
release information, in 
which case the revised 
filer manual will state 
“Voted on 12/17/08”] 
Interactive Data to Improve Financial Reporting (adopting 
release) 
[XX-XXXX  
Issued: XX/XX/XX 
Effective: XX/XX/XX] 
[Release numbers and 
dates will be added prior 
to the publication of the 
revisions to the filer 
manual, unless such 
revisions must be 
published prior to 
availability of the 
release information, in 
which case the revised 
filer manual will state 
“Voted on 12/17/08”] 
Interactive Data For Mutual Fund Risk/Return Summary 
34-58785 
Issued 10/15/2008 
Effective 10/18/2008 
(73 FR 61678) 
33-8891 
Issued 02/06/08 
Effective 09/15/08 
(73 FR 10592) 
Disclosure of Short Sales and Short Positions by Institutional 
Investment Managers 
Electronic Filing and Revision of Form D 
(see effective date section of release for exceptions) 
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EDGAR Filer Manual (Volume II) 
xx 
March 2009 
33-8876 
Issued 12/19/07 
Effective 02/04/08 
(73 FR 934) 
Smaller Reporting Company Regulatory Relief and 
Simplification 
33-8919 
Issued 10/29/08 
Effective 01/01/2009 
(73 FR 65516) 
Mandatory Electronic Submission of Applications for Orders 
under the Investment Company Act and Filings Made Pursuant 
to Regulation E 
33-8823 
Issued 07/11/07 
Effective 08/20/07 
(72 FR 39290) 
Extension of the Interactive Data Voluntary Program on the 
EDGAR System to Include Mutual Fund Risk/Return Summary 
Information 
34-55540 
Issued 03/27/07 
Effective 06/04/07 
(72 FR 16934) 
Termination of a Foreign Private Issuer’s Registration of a Class 
of Securities under Section 12(G) and Duty to File Reports 
under Section 13(A) or 15(D) of the Securities Exchange Act of 
1934 
34-54356 
Issued 12/04/06 
Effective 01/11/07 
(71 FR 74698) 
Electronic Filing of Transfer Agent Forms 
33-8644 
Issued 12/21/05 
Effective 12/27/05 
(70 FR 76626) 
Revisions to Accelerated Filer Definition and Accelerated 
Deadlines for Filing Periodic Reports 
33-8591 
Issued 7/19/05 
Effective 12/1/05 
(70 FR 44722) 
Securities Offering Reform 
33-8590 
Issued 07/18/05 
Effective 09/19/2005 
Effective 02/06/2006 
Effective 6/12/2006 
(70 FR 43558) 
Rulemaking for EDGAR System  
Technical amendments to Reg S-T Series and class requirements 
Additional mandatory electronic filings for investment 
companies 
March 2009 
xxi 
EDGAR Filer Manual (Volume II) 
33-8587 
Issued 7/15/05 
Effective 8/22/05 
(70 FR 42234) 
Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies 
34-52029 
Issued 7/14/05 
Effective 8/22/05 
Compliance 4/24/06 
(70 FR 42456) 
Removal From Listing and Registration of Securities Pursuant to 
Section 12(d) of the Securities Exchange Act of 1934 
33-8529 
Issued 02/03/05 
Effective 03/16/05 
(70 FR 6556) 
XBRL Voluntary Financial Reporting Program on the EDGAR 
System 
33-8518 
Issued 12/22/04 
Effective 3/08/05 
(70 FR 1506) 
Asset-Backed Securities 
34-50486 
Issued 10/04/04 
Effective 11/08/04 
(69 FR 60287) 
Proposed Rule Changes of Self-Regulatory Organizations 
33-8400A 
Issued 8/04/04 
Effective 8/23/04 
(69 FR 48370) 
Additional Form 8-K Disclosure Requirements and Acceleration 
of Filing Date; Correction 
33-8410 
Issued 4/21/04 
Effective 4/26/04 
(69 FR 22704) 
Mandated Electronic Filing for Form ID 
33-8170 
34-47069 
35-27627 
Issued 12/27/02 
Mandated Electronic Filing and Website Posting for Forms 3, 4, 
and 5 
EDGAR Filer Manual (Volume II) 
xxii 
March 2009 
33-8009 
Issued 5/14/02 
Effective 5/24/02 
and 11/4/02 
(67 FR 36677) 
Mandated EDGAR Filing for Foreign Issuers 
33-8007 
Issued 9/17/01 
(66 FR 49829) 
Updated version of the EDGARLink software 
33-7999 
Issued 7/30/01 
(66 FR 42941) 
Next stage of EDGAR Modernization 
33-7933 
Issued 1/16/01 
Effective 2/02/01 
(66 FR 8764) 
Next stage of EDGAR Modernization 
33-7855 
Issued 4/24/00 
Effective 5/30/00 
Effective 7/10/00 
Effective 1/1/01 
(65 FR 24788) 
Rules for the next stage of EDGAR Modernization 
Diskette submissions not accepted 
Financial Data Schedule requirement removed 
33-7789 
Issued 1/20/00 
Effective 1/24/00 
(65 FR 3123) 
Adopted updated filing form types in Filer Manual 
33-7755 
Issued 10/07/99 
Effective 10/16/99 
(64 FR 56430) 
CompuServe discontinued electronic mail service 
33-7684 
Issued 5/17/99 
Effective 6/28/99 
(64 FR 27888) 
Rules for the first stage of EDGAR modernization adopted 
March 2009 
xxiii 
EDGAR Filer Manual (Volume II) 
34-40934 
Issued 1/12/99 
Compliance date 4/1/99 
(64 FR 2834) 
Electronic filing of Form 13F made mandatory 
33-7472 
Issued 10/24/97 
Effective 1/1/98 
(62 FR 58647) 
Commission will no longer accept, in paper, filings required to 
be submitted electronically, except in a hardship situation 
33-7427 
Issued 7/1/97 
(62 FR 36450) 
Minor and technical rule amendments, including the elimination 
of transition rules applicable to the phase-in period 
33-7122 
Issued 12/19/94 
(59 FR 67752) 
Rules and phase-in schedule made final. Final phase-in lists 
published. Minor rule amendments adopted 
33-6977 
Issued 2/23/93 
(58 FR 14628) 
Interim rules applicable to electronic filing in general, and 
specifically to the Division of Corporation Finance filers 
IC-19284 
Issued 2/23/93 
(58 FR 14848) 
Interim rules specific to investment companies 
35-25746 
Issued 2/23/93 
(58 FR 14999) 
Interim rules specific to public utility holding companies 
33-6980 
Issued 2/23/93 
(58 FR 15009) 
Rules relating to payment of filing fees to the SEC's lockbox in 
Pittsburgh, Pennsylvania 
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