February 26, 1997
TO: ACCOUNTING/TREASURERS COMMITTEE No. 5-97
CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-97
SEC RULES COMMITTEE No. 23-97
RE: ELECTRONIC FILING OF CERTAIN INVESTMENT COMPANY FORMS ON
EDGAR
______________________________________________________________________________
The Securities and Exchange Commission recently announced that it will adopt an
updated version of the EDGAR Filer Manual on March 10, 1997. The EDGAR Filer Manual sets
forth the technical formatting requirements governing the preparation and submission of
electronic filings. Concurrent with the adoption of the updated Filer Manual, the EDGAR
system will be upgraded to Release 5.20.
The scheduled upgrade will accommodate several investment company filings not
previously eligible for electronic filing. Specifically, new EDGAR submission types "40-17F1"
and "40-17F2" have been added to accommodate the electronic filing of Forms N-17F-1
(pertaining to the custody of securities with a member of a national securities exchange) and N-
17F-2 (pertaining to self-custody). Also, submission types "N-23C3A," "N-23C3B," and "N-
23C3C" have been added to accommodate the filing of Form N-23C-3 (notification of a periodic
repurchase offer by an interval fund). Finally, submission type "N-23C-2" has been added to
accommodate filings by closed-end investment companies pertaining to the call or redemption
of their own securities.
Gregory M. Smith
Director - Operations/
Compliance & Fund Accounting
Attachment (in .pdf format)