Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

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Rule 311 -- Documents Submitted in Paper Under Cover of Form SE [Effective Nov. 4, 2002.]

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1. Exhibits filed in paper pursuant to a hardship exemption shall be filed under cover of Form SE. See Rules 201 and 202 of Regulation S-T.
   
   
2. Exhibits to a Commission schedule filed pursuant to Section 13 or 14(d) of the Exchange Act may be filed in paper under cover of Form SE where such exhibits previously were filed in paper (prior to a registrant's becoming subject to mandated electronic filing or pursuant to a hardship exemption) and are required to be refiled pursuant to the schedule's general instructions.
   
   
3. Annual Reports to Security Holders furnished by Public Utility Holding Companies as Exhibit A to Form U5S or under rule 29 (17 CFR 250.29) shall be filed in paper under cover of Form SE.
   
   
4. Reports to State Commissions, if furnished by Public Utility Holding Companies as Exhibit E to Form USS, shall be filed in paper under cover of Form SE.
   
   
5. Maps furnished by Public Utility Holding Companies under Exhibits E to Forms U5B and U-1 shall be filed in paper under cover of Form SE.
   
   
6. A party may submit a copy of an unabridged foreign language document in paper under cover of Form SE if the electronic filing or submission includes an English summary or English translation of the foreign language document in accordance with Rule 306(b) or if permitted by the applicable form.
   
   
7. A foreign government or political subdivision that is not filing in electronic format an English translation of its latest annual budget submitted as Exhibit B to Form 18 or Exhibit (c) to Form 18-K (§ 249.318 of this chapter) must file a copy of the foreign language version of its latest annual budget in paper under cover of Form SE in accordance with Rule 306(c).
   
   
8. The Form SE shall be submitted in the following manner:
   
   
   1. If the subject of a temporary hardship exemption is an exhibit only, the exhibit shall be filed under cover of Form SE no later than one business day after the date the exhibit was to be filed electronically.
      
      
   2. An exhibit filed pursuant to a continuing hardship exemption, or any other document filed in paper under cover of Form SE (other than an exhibit filed pursuant to a temporary hardship exemption), as allowed by paragraphs (a) through (g) of this section, may be filed up to six business days prior to, or on the date of filing of, the electronic format document to which it relates but shall not be filed after such filing date. If a paper document is submitted in this manner, requirements that the document be filed with, provided with or accompany the electronic filing shall be satisfied.
      
      
9. Any requirements as to delivery or furnishing the information to persons other than the Commission shall not be affected by this section.
   
   

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