Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 6
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100Commission developed EDGARLite to provide filers with an easy to use, form-driven tool
that can gather information and convert it to XML. EDGARLite uses form templates created
by the Commission with a commercial "off the shelf" software package, MS InfoPath.™
Transfer agents would need to have MS InfoPath™ installed on their computers in order to
use EDGARLite.
As an alternative to purchasing the software, transfer agents could prepare the forms outside
of EDGARLite by creating an XML tagged version of the filing as an ASCII document using
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technical specifications that would be available on the Commission’s Web site.
This is a
permissible means of filing because the amendments require only that the information reported on
the forms be submitted in the electronic format set forth in the EDGAR Filer Manual and do not
require that transfer agents use EDGARLite. Preparing XML data tags in ASCII text language
would require some technical expertise on the part of the filer, however, and the Commission
expects that most transfer agents would choose to purchase the software and prepare the forms using
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EDGARLite.
As another alternative, transfer agents could hire a third party to prepare and submit
the electronic forms for them; however, this filing method would likely cost the transfer agent more
than purchasing the MS InfoPath™ software.
Regulation S-T sets forth the rules governing electronic filing in EDGAR. The EDGAR
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Filer Manual, which is promulgated by the Commission under Rule 301 of Regulation S-T,
provides the instructions and technical requirements for submitting filings to EDGAR. In
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An ASCII document is an electronic text document that has contents limited to American
Standard Code for Information Interchange (“ASCII”) characters. 17 CFR 232.11.
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Third party software developers may also use the technical specifications to create a
software product to compete with or enhance the EDGARLite application.
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17 CFR 232.301.
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