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
St. Louis, Missouri
SEC account number: 850000001001
ABA number: 021030004
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
St. Louis, MO 63101
- 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.