[Code of Federal Regulations]
[Title 17, Volume 2]
[Revised as of April 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 17CFR232.104]

[Page 639]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER II--SECURITIES AND EXCHANGE COMMISSION
 
PART 232--REGULATION S-T--GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS--Table of Contents
 
Sec. 232.104  Unofficial PDF copies included in an electronic submission.

    (a) An electronic submission may include one unofficial PDF copy of 
each electronic document contained within that submission, tagged in the 
format required by the EDGAR Filer Manual.
    (b) Except as provided in paragraphs (c) and (f) of this section, 
each unofficial PDF copy must be substantively equivalent to its 
associated electronic document contained in the electronic submission. 
An unofficial PDF copy may contain graphic and image material (but not 
animated graphics, or audio or video material), notwithstanding the fact 
that its HTML or ASCII document counterpart may not contain such 
material but instead may contain a fair and accurate narrative 
description or tabular representation of any omitted graphic or image 
material.
    (c) If a filer omits an unofficial PDF copy from, or submits one or 
more flawed unofficial PDF copies in, the electronic submission of an 
official filing, the filer may add or resubmit an unofficial PDF copy by 
electronically submitting an amendment to the filing to which it 
relates. The amendment must include an explanatory note that the purpose 
of the amendment is to add or to correct an unofficial PDF copy.
    (1) If such an amendment is filed, the official amendment may 
consist solely of the cover page (or first page of the document), the 
explanatory note, and the signature page and exhibit index (where 
appropriate). The corresponding unofficial copy must include the 
complete text of the official filing document for which the amendment is 
being submitted.
    (2) If the amendment is being filed to add or resubmit an unofficial 
PDF copy of one or more exhibits, the submission may consist of the 
following: the official filing--consisting of the cover page (or first 
page of the document), the explanatory note, the signature page (where 
appropriate), the exhibit index, and a separate electronic exhibit 
document for each exhibit for which an unofficial PDF copy is being 
submitted--and the corresponding unofficial PDF copy of each exhibit 
document. However, the text of the official exhibit document need not 
repeat the text of the exhibit; that document may contain only the 
following legend:

RESUBMITTED TO ADD/REPLACE UNOFFICIAL PDF COPY OF EXHIBIT.

    (d) An unofficial PDF copy is not filed for purposes of section 11 
of the Securities Act (15 U.S.C. 77k), section 18 of the Exchange Act 
(15 U.S.C. 78r), section 16 of the Public Utility Act (15 U.S.C. 79p), 
section 323 of the Trust Indenture Act (15 U.S.C. 77www), or section 
34(b) of the Investment Company Act (15 U.S.C. 80a-33(b)), or otherwise 
subject to the liabilities of such sections, and is not part of any 
registration statement to which it relates. An unofficial PDF copy is, 
however, subject to all other civil liability and anti-fraud provisions 
of the above Acts or other laws.
    (e) Unofficial PDF copies that are prospectuses are subject to 
liability under Section 12 of the Securities Act (15 U.S.C. 77l).
    (f) An unofficial PDF copy of a correspondence document contained in 
an electronic submission need not be substantively equivalent to that 
correspondence document.

[64 FR 27895, May 21, 1999, as amended at 65 FR 24800, Apr. 27, 2000]