NPORT EXHIBIT UPDATE
The SEC recently passed another update related to the submission of the Form NPORT Exhibit (NPORT-EX).
New SEC release:
https://www.sec.gov/oit/announcement/edgar-release-1911-upgrade
NPORT technical specification changes:
https://www.sec.gov/info/edgar/specifications/form-n-port-xml-tech-specs.htm
IMPORTANT NOTES:
- For all NPORT related submissions prior to the reporting period of August 31, 2019, NPORT-EX will be a separate submission from the NPORT-P filing.
- NPORT-P must be submitted prior to NPORT-EX.
- NPORT-EX has a mandatory field that requires the accession number from the respective NPORT-P filing.
- Upon submitting NPORT-P with the EDGAR system, FilePoint can insert the accession number into the NPORT-EX filing, without additional instruction.
- The conversion of the NPORT-EX files should still be initiated in advance of NPORT-P.
- For NPORT-P submissions with reporting periods after August 31, 2019, NPORT-EX will no longer be a separate filing. Rather it will be integrated as an exhibit in into NPORT-P for the same reporting period.
- The NPORT-P and NPORT Exhibit process can remain the same.
- FilePoint an convert the NPORT Exhibit and return it to be combined with the NPORT-P submission.
COMPLIANCE DATE:
The change in the submission format will be effective August 31, 2019.
SOLUTION:
FilePoint is prepared to handle the NPORT Exhibit process for you. All you need to do is send us your documents like you would for a traditional filing. Please do not hesitate to reach out with any questions.
Please contact file@filepoint.com for assistance with the preparation of NPORT Exhibits.