SEC Fedwire Fee Payment Options (Effective October 1, 2012) and M2 Compliance Fee Calculator
When filing fees are required for a specific form type, they must be paid in accordance with
the provisions of the Lockbox Rule (Rule 3a of the Commission’s Rules of Practice) as
effective April 26, 1993. Please fill out the form below to gain access to our fee
calculator in order to determine the amount you will owe:
Each filer should use its CIK number as its account number to provide for electronic
transfer of funds. The CIK number must be supplied with the payment to permit proper assignment
of funds.
Notice: New Bank Account and ABA for Filing Fee Wires
The U.S. Department of Treasury’s Financial Management Service designated U.S. Bank of St. Louis,
Missouri as the Financial Agent for General Lockbox Services for the SEC. As of October 1st,
2012, all wire fee payments must be submitted to the new US Bank Treasury account number
designated for SEC filers (850000001001). Check payment instructions are unchanged and checks
will continue being received through the old US Bank Treasury account number.
Table of Fee Payment Methods
| OPTION |
PROCEDURE |
| FEDWIRE |
U.S. Bank
St. Louis, Missouri
SEC account number: 850000001001
ABA
number: 021030004
TREAS NYC
Payor account number:
Enter: “CIK (10 digit CIK #)”
Bank hours of operation are 8:30am to 6:00pm eastern time
|
| Delivery to Lockbox |
To remit your SEC filing fee payment by check or money order, you must make them
payable to the Securities and Exchange Commission, omitting the name or title of any
official of the Commission. On the front of the check or money order, you must
include the SEC’s account number (152307768324) and CIK number of the account to
which the fee is to be applied. You must mail checks (certified or cashier’s check)
or money orders to the following U.S. Bank addresses. U.S. Bank does not support
walk-in deliveries by individuals. For USPS remittances, they MUST be sent to the
following PO Box address. Securities & Exchange Commission
P.O. Box 979081
St. Louis, MO 63197-9000The following address can be used for common carriers such
as FedEx, Airborne, DHL, and UPS. U.S. Bank Government Lockbox 979081
1005 Convention Plaza
SL-MO-C2-GL
St. Louis, MO 63101
|
sec.gov/info/edgar/fedwire.htm#fedwire
Note:
- Filing fees with respect to domestic registrants must be paid in accordance with the
provisions of the Lockbox Rule (either by check or wire transfer) whether the filing is
made electronically or in paper pursuant to a hardship exemption.
- Include the Payor’s CIK (Corporate Account Number) on all fee payments. When paying
fees, one payment can be used to pay for several filings provided that the tag is used
to indicate from which account the funds are coming. Law firms acting as filing agents,
for instance, use this method: they pay for the fees for all their clients, then bill
the individual clients.
- Wire transfers are not instantaneous. The time required to process a wire transfer
through the FEDWIRE system, from origination to receipt by US Bank, varies
substantially. It is important that all filers discuss with their bank or wire transfer
service their unique procedures and timing.
- The SEC advises filers to allow sufficient time to complete all transactions prior to
submission of filings registering securities. These filings will not be accepted if
sufficient funds have not been received by the SEC at the time of filing. Such filings
include:
- Registration statements pursuant to 6(b) of the Securities Act of 1933 that
provides for the registration of securities and mandates the receipt of the
appropriate fee payment upon filing (e.g., filing submission types such as S-1, S-2,
S-3, N-1A, N-2, F-1, F-2, and 24F-2NT); and
- Transactional filings pursuant to the Securities Exchange Act of 1934 (e.g., form
types such as PRE CON, PREM14A* and PREM14C* (*except when filed by a registered
investment company).
- All filers are advised to obtain from their bank or wire transfer service the “FED”
reference number of the wire transfer. Having this number can greatly facilitate tracing
the funds if any problems do occur.