Please be aware that there are two significant issues that are currently affecting filers: a) issues with HTML code generated by software other than GoFiler that can result in data loss if the HTML code contains no line returns; and b) SEC changes to the EDGAR system that are affecting the filing and acceptance response time and performance. The first issue has been addressed in a hotfix for GoFiler, which you can download and install by following the instructions in this notice. The second is not a problem with GoFiler but rather a general problem with the SEC changes to the EDGAR system. More information on that is also available in this notice.

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Version 5.4a of all applications in the GoFiler Suite has been released. This release corresponds to EDGAR 20.2 and contains a number of corrections and improvements for Page View, XDX View (both US GAAP and Risk Return), N-PORT View and Submission View. There have also been a number of improvements to the general application to improve the handling of large files or files with long lines.

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The SEC will be closed Friday, July 3 in observance of Independence Day. The EDGAR System will not receive, process or accept filings on this day. Filings with a due date of July 3 will be due the following business day. Continue reading "SEC Closed Friday, July 3" »

The SEC has indicated on July 2nd that there are ongoing technical difficulties with accessing the EDGAR system. Their EDGAR technical teams are actively working to resolve the issues, and updates will be provided as soon as they are available. UPDATE: The SEC has announced EDGAR will be unavailable to the public from approximately 1:00 p.m. to 1:30 p.m. ET today, July 2nd, for technical repair. Filers should ensure that they do not attempt to submit or have submissions in process during this time.
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On July 1st, Temporary Final Rule 10(c) expires. This rule was enacted by the SEC on March 26, 2020 to temporarily amend Rule 10 of Regulation S-T to provide relief from the notarization requirements for EDGAR access requests, subject to certain conditions. The rule was enacted as part of relief efforts due to the ongoing COVID-19 pandemic. July 1st is the final day to rely on Temporary Final Rule 10(c) to apply for EDGAR access.
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The SEC reminds filers who have taken advantage of temporary relief measures regarding access to the EDGAR system that the required notarized authentication document must be submitted within 90 days of submitting the access application. This temporary relief (Temporary Final Rule 10(c)) was enacted because of the ongoing impacts of the COVID-19 pandemic which may have made it difficult for filers to obtain notarized documentation in a timely fashion.
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Version 5.3c of all applications in the GoFiler Suite has been released. This release contains a new Prospectus Wizard for creating Risk Return documents using XDX as well as improvement to HTML importing. Additionally, some changes were made to Form D View and Form N-PORT View.

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The SEC will be closed Monday, May 25 in observance of Memorial Day. The EDGAR System will not receive, process or accept filings on this day. Filings with a due date of May 25 will be due the following business day. Continue reading "SEC Closed Monday, May 25" »

The Financial Accounting Standards Board (FASB) has published Proposed Accounting Standards Update-Revenue from Contracts with Customers (Topic 606) and Leases (Topic 842): Effective Dates for Certain Entities and the related release notes for public comment. The FASB has indicated that these changes to the accounting standards would not require any changes to the US GAAP Financial Reporting Taxonomy.
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The SEC has announced that the Division of Investment Management is extending the EDGAR filing window on April 29, 2020 from 5:30 pm to 10:00 pm EDT. This extension applies to registered investment companies and business development companies. The extension is intended to help ameliorate the potential filing delays due to the ongoing impacts of the COVID-19 pandemic. Continue reading "EDGAR Filing Window Extension on April 29, 2020..." »

With the release of EDGAR 20.1.1, the Securities and Exchange Commission updated EDGAR to accept the US GAAP 2020 taxonomy among other new taxonomies. Even though previous taxonomies are still accepted by EDGAR, it’s always a good practice to transition your SEC filings as soon as possible after the SEC accepts the new taxonomy year.
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Version 5.3b of all applications in the GoFiler Suite has been released. This release contains a number of improvements to XDX View as well as some general application changes. Additionally, some changes were made to Form D View, Form N-PORT View, and Form 13F View.

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The SEC’s latest update to the published CUSIP database contained an internal formatting change that causes additional whitespace in the CUSIP data. This is in turn causing issues when users check CUSIPs using the tools available in Form 13F View. This problem will be resolved in our next update (currently scheduled for April 20). Until then, we are providing the following workaround for users.

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The SEC and its staff recognize that the COVID-19 public health crisis has presented challenges for some entities and individuals who require initial access to file through the EDGAR system, particularly those applicants who have experienced trouble obtaining notarization of the authorized signature on the Form ID application. This notarization process is required by Rule 10(b) of Regulation S-T.
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The SEC released an announcement concerning Form ID and difficulties with form notorization given the recent coronavirus pandemic and its impact on business. The SEC understands that the COVID-19 public health crisis is presenting challenges for some entities and individuals who are seeking initial access to file submissions through the EDGAR system. In particular, users are encountering trouble in meeting the notary requirement in the Form ID access application process. This problem with notary access is also affecting other EDGAR access processes that require notarization.
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