sec filing fee instructions

This is the unique SEC identifier known as the CIK of the payor. 0000073676 00000 n 17-7002, 17-7510, 17-7929 0000005986 00000 n (Example: $250.00 formatted is 000000025000) Name of the beneficiary (Securities and Exchange Commission). HOW WE COLLECT For this project, SEC collects and uses email addresses through an online subscription/sign-up form located at … 0000001356 00000 n The Filing Fees Branch, part of the SEC’s Office of Financial Management, is responsible for validating and collecting fees under various provisions of the securities laws. The current fee rate for 10/1/2020 to 9/30/2021 is: $109.10 per $1,000,000. background-color: #BDBDBD; For more information, please call (785) 296-4564. o Payment Please enclose a check or money order payable to the Secretary of State. 1 Twitter 2 Facebook 3RSS 4YouTube SEC Wire Transfer Instructions Company, Inc. SEC Filing Fee Aggregate offering price: $[ ] SEC filing fee: $[ ] Transferred funds must be available at U.S. Bank immediately prior to the time the registration statement is filed with the SEC. } The most critical data are the SEC’s account number at Mellon Bank and the SEC-assigned account number identified as the CIK number. Fill in form very carefully; mistakes may have important legal consequences. Note: Tag {4320} is used when the registrant and payor are not the same, and therefore have different CIK numbers and Tag {6000} is always the payor's CIK. 123 ABC PLAZA and Sending Bank's Name, ABA = American Bankers Association Receiving Bank's ABA Number (9 positions) and Receiving Bank's Name. border: 1px solid black; A fee calculator is available as a tool to assist you in the calculation of SEC filing fees applicable to your SEC registration statement. 0000070999 00000 n … } padding: 5px; width:100%; 0000070921 00000 n For help with filing fees or questions regarding fedwires, please contact Filing Fee Information at. Effective October 1, 2019, the filing fee rate will increase approximately 7.1 percent from the current rate of $121.20 per million dollars to $129.80 per million dollars for: Total wire amount, no commas or decimals. If your entire advisory business is . 0000001584 00000 n The US Securities and Exchange Commission (SEC) has announced an increase in the filing fees to be paid by public companies and other issuers during the SEC’s 2020 fiscal year. Instructions for Form 1128(Rev. Accounting support fee. Instructions for Part 1A ; OMB Approval. For help with access codes, please visit this Quick Reference Guide. In this field, the unique CIK number is used for the registrant. The SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Filing Fee Fedwire Tags and Terminology April 30, 2015 If a wire transfer of SEC filing fees does not contain the required information in the proper format, the SEC may not be able to identify the payor and the acceptance of filings may be delayed. 0000073888 00000 n This SEC filing fee calculator is provided as a tool to assist law firms and Issuers in the calculation of filing fees applicable to SEC registration statement. Also available is a current link to the latest SEC fee rate advisory as well as FEDWIRE instructions for wiring fees to the SEC. 0000005843 00000 n table, th, td { Once complete, press the "Calculate Fee" button. 12345 ABC CO The disclosure requirements for preparing a . The free resource is available here. 1. 0000002580 00000 n 0000001197 00000 n 2006-45, ... requires payment of a user fee. Here you'll find links to a complete list of filings available through EDGAR and instructions for searching the EDGAR database. Instructions: Key in the Amount Being Registered and the Proposed Maximum Offering Price Per Unit for each Security Type being registered. Instructions: Enter the amount of shares being registered (Amount Being Registered) and the Proposed Maximum Offering Price Per Unit. The information provided on this page is specific to filing fee payments ONLY. table tr:nth-child(even) { The proposal is intended to modernize filing fee disclosure and payment methods, ... For example, the SEC is proposing to revise the instructions to Forms S-3 and F-3 to provide that: STAY CONNECTED 2. Search EDGAR Comment Letters. Total Offering. Edgar filer manual volume ii. SEC Bulletin sign up form does not collect information about your computer (or mobile device), including IP addresses, operating system and browser type. 0000001044 00000 n Filers enter data manually, sometimes in more than one location in the filing, increasing the possibility of filer error. In this example: ABC Company, CIK9999999998 (Tag {6000}) is the payor having its wire payment submitted to US Bank, and XYZ Company, CIK 9999999995 (Tag {4320}) is the registrant. } table th { Sec wire transfer instructions effective october 1, 2012. The SEC's US Bank account number must be obtained by: In this example: JJJ CO, CIK9999999998 is the payor and the registrant. 0000002619 00000 n If a wire transfer of SEC filing fees does not contain the required information in the proper format, the SEC may not be able to identify the payor and the acceptance of filings may be delayed. background-color:#fff; 0000002853 00000 n ... authorize the SEC to collect the information required by Form ADV. Descriptions of SEC Forms. 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. If you are filing this annual report as part of a reinstatement due to forfeiture, you may owe a different fee (fees are listed with the reinstatement form). background-color: #eee; H�b```"7�?� bE8.0t�h�n`�QP �����0>`}!�`�������pq!����,�&7�5��bg`�� ���� � E endstream endobj 31 0 obj 95 endobj 14 0 obj << /Type /Page /Parent 9 0 R /Resources 15 0 R /Contents 21 0 R /MediaBox [ 0 0 612 792 ] /CropBox [ 0 0 612 792 ] /Rotate 0 >> endobj 15 0 obj << /ProcSet [ /PDF /Text ] /Font << /TT2 18 0 R /TT4 17 0 R /TT5 22 0 R >> /ExtGState << /GS1 26 0 R >> /ColorSpace << /Cs6 19 0 R >> >> endobj 16 0 obj << /Type /FontDescriptor /Ascent 891 /CapHeight 656 /Descent -216 /Flags 34 /FontBBox [ -568 -307 2028 1007 ] /FontName /MPMCIF+TimesNewRoman /ItalicAngle 0 /StemV 94 /XHeight 0 /FontFile2 24 0 R >> endobj 17 0 obj << /Type /Font /Subtype /TrueType /FirstChar 32 /LastChar 121 /Widths [ 250 0 408 0 500 0 0 180 333 333 0 0 250 333 250 278 500 500 500 500 500 500 500 500 500 500 278 278 0 0 0 0 0 722 667 667 722 611 556 722 722 333 0 722 611 889 722 722 556 722 667 556 611 722 0 944 722 722 0 0 0 0 0 0 0 444 500 444 500 444 333 500 500 278 0 500 278 778 500 500 500 500 333 389 278 500 500 722 500 500 ] /Encoding /WinAnsiEncoding /BaseFont /MPMCIF+TimesNewRoman /FontDescriptor 16 0 R >> endobj 18 0 obj << /Type /Font /Subtype /TrueType /FirstChar 32 /LastChar 121 /Widths [ 250 0 0 0 0 0 0 278 333 333 0 0 0 333 250 0 500 500 0 500 500 0 0 500 500 500 333 333 0 0 0 0 0 722 667 722 722 667 611 778 778 389 0 778 0 944 0 778 611 0 722 556 667 722 0 1000 0 0 0 0 0 0 0 0 0 500 556 444 556 444 333 500 556 278 0 556 278 833 556 500 556 556 444 389 333 556 500 722 500 500 ] /Encoding /WinAnsiEncoding /BaseFont /MPMCGP+TimesNewRoman,Bold /FontDescriptor 20 0 R >> endobj 19 0 obj [ /ICCBased 27 0 R ] endobj 20 0 obj << /Type /FontDescriptor /Ascent 891 /CapHeight 656 /Descent -216 /Flags 34 /FontBBox [ -558 -307 2034 1026 ] /FontName /MPMCGP+TimesNewRoman,Bold /ItalicAngle 0 /StemV 160 /XHeight 0 /FontFile2 23 0 R >> endobj 21 0 obj << /Length 2915 /Filter /FlateDecode >> stream Sec. %PDF-1.3 %���� 17 cfr 202. 0000000838 00000 n To ensure proper credit, it is critical that all required information be provided to the sending bank or wire transfer service. 000000000000 (Do not use spaces, blanks, or special characters). separate from your . The Total Fee Due will appear in the upper most table. clients. Originator Information - Originating customer account number from sending bank, name of originating company address, city, state, and zip code. 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. Massachusetts Annual Report Fee Schedule. wrap fee program brochure(s). Enter the initials "CIK" followed immediately by payor's CIK number. trailer << /Size 32 /Info 10 0 R /Root 13 0 R /Prev 82026 /ID[<0433ded08513a1aac5a23199b800f948><0cd574f96d115ffab0e08a3255437b94>] >> startxref 0 %%EOF 13 0 obj << /Type /Catalog /Pages 9 0 R /Metadata 11 0 R /PageLabels 8 0 R >> endobj 30 0 obj << /S 52 /L 108 /Filter /FlateDecode /Length 31 0 R >> stream } Public companies, certain insiders, and broker-dealers are required to make regular SEC filings. NEW YORK NY 10258, Originator (Payor) to Beneficiary Information. The filing officer receives Filing Office Copy of all forms. Only use this field if the SEC registrant and the payor are different. Investors and financial professionals rely on these filings for information about companies they are evaluating for investment purposes. Some of these form types have associated filing fees, such as filings registering new securities or debt. Securities and Exchange Commission. Massachusetts Annual Report Service & Filing Instructions ... All online and faxed filings are considered expedited and incur an additional expedite fee. The SEC has said that filing fees for fiscal 2021 will be charged at a rate of $109.10 per million dollars, effective October 1, 2020. Currently, SEC staff manually review fee information for every filing and resolve discrepancies. Click on the “Calculate Fee” button to view the total SEC fees required. SEC Form 1-A: A filing with the Securities and Exchange Commission (SEC) required for the registration of certain securities. Read and follow all instructions completely. 5 Flickr 6LinkedIn 7 Pinterest 8 Email Updates. If you have questions, consult your attorney. (If the registrant and payor are the same, use only the {6000} field.) To ensure proper credit and prompt filing acceptance, it is critical to include: Corporation annual report. th, td { Quick EDGAR Tutorial. Sec edgar filing fees lockbox fedwire wire transfer. Transaction Dollar Amount (Total Wire Value) color: black; text-align: left; The last two positions of the transaction dollar amount are for cents. In this field, the initials "CIK" should be entered immediately followed by the registrant's CIK number. Early Applications Generally, an application to adopt or Reference to Beneficiary. (If the registrant is not the payor, enter the registrant's CIK in the {4320} field, as shown above). The hours of operation at US Bank are 8:30am to 6:30pm EST for wires. Filing a Form 1-A with the SEC How to file Form 1-A. Instructions Form Filing Fee; 10PN003: Annual Trustee Report Form: $0: Pre-Need Complaint Form: $0: 10PN001: Registration or Renewal of Preneed Establishment: $250 initial / $50 renewal: 10PN002: The Preneed Contracts Loss Recovery Association - Quarterly Contract Fee Report Form : $10.00 0000064782 00000 n For additional information on filing fee procedures, please refer to 17 CER 202.3a, Instructions for Filing Fees. table tr:nth-child(odd) { received after the renewal date shall be assessed a $25.00 late fee for each month or portion thereof that the report is late filed, pursuant to Tennessee Code Annotated § 48-101-506. 12 0 obj << /Linearized 1 /O 14 /H [ 838 206 ] /L 82394 /E 74263 /N 3 /T 82036 >> endobj xref 12 20 0000000016 00000 n Be sure that all information is completely legible. 0000002091 00000 n H��Wko�F��_1�V� ���R�n�"�4Ra,�~���Ć�CZֿ�sg�I�2BbQ$���9����,e�����a7ad�(d��,��V�����6���'�O~ZL>,_�'��Y���=sy8ca��-�β�>�ܲ,��Lnگ���������4K� {�=���:-v����̡�>ԡsCǥ�,�g)K���E����.>��"ztzW�(j94���3. Any bank or wire transfer service may initiate wire transfers of filing fee payments through the Fedwire system to US Bank, the US Treasury designated financial agent for SEC filing fee payments. OMB Number: 3235-0049. Filing fees are required for filings made pursuant to: Sections 6(b) of the Securities Act of 1933; Sections 13(e) and 14(g) of the Securities Exchange Act of 1934 SEC data must be inserted in the proper fields. } If a consolidated group filing a consolidated return wants to change its tax year by using Rev. 0000001024 00000 n ... For $100 plus the state-mandated report fee, we’ll file your biennial report. Sending Bank's ABA Number (9 positions) 3a instructions for filing fees. 0000000747 00000 n SEC data must be inserted in the proper fields. | us law | lii / legal. Annual report and tax instructions division of corporations state. table { to your wrap fee . appear in Part 2A, Appendix 1 of Form ADV. 0000032714 00000 n Please type or laser-print all forms. Search for Company Filings. 12 positions total. S-8 Filing: A SEC filing required for companies wishing to issue equity to their employees. SEC Forms List (PDF versions) About EDGAR. wrap fee program brochure. Filing officer cannot give legal advice. (Do not use spaces, blanks, or special characters.). The fee is calculated by multiplying the aggregate offering amount by .0001091. Proc. border-collapse: collapse; brochure. Form 1-A is the offering document required to be filed for securities offerings that are qualified under Regulation A and Regulation A+.Issuers should take note of terms, conditions, and requirements of Regulation A, as the exemption is not available to all issuers or for every type of securities transaction. FINRA also will create a financial account for the investment adviser from which the IARD will deduct filing fees and any state fees the adviser is required to pay. 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. SEC Fedwire SEC Fedwire Fee Payment Options (Effective October 1, 2012) and Securex Fee Calculator. Filing fees can become very complex, especially when there are multiple transactions, fee offsets and carryforwards. o Filing fee The filing fee for the annual report is $55. The SEC collects the information for regulatory purposes, such as deciding whether to grant registration. Instructions for Check Payments 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. }. Tag {6000} contains the CIK information for payment to match with the right account at the SEC. Beneficiary Information (SEC's US Bank account number) 1939 Act Filing You must pay a filing fee with the following 1939 Act filing: 1933 and 1940 Act Filings by Investment Companies You must pay a filing fee with the following EDGAR submissions made by investment companies: Offsetting Fees SEC regulations provide that only one fee is required for each transaction. sponsoring wrap fee programs, you do not need to prepare a firm . Filing Instructions for Renewing Registration of a Charitable rganization Tre argett Secretary of State Division of Charitable Solicitations and aming Fee amount: $40 flat filing fee Annual reports with tax year ending 1993 TO 2000: Fee amount: $20 flat filing fee Annual reports with tax year ending 1972 TO 1992: Fee amount: $5 flat filing fee Annual reports were not required for not-for-profit corporations PRIOR TO 1972. ANNUAL REPORT FEE SCHEDULE RR Inst.K.S.A. Sec-Assigned account number ) Name of the payor of SEC filing required for wishing... Must be inserted in the calculation of SEC filing is a financial statement other! Sec fees required access codes, please refer to 17 CER 202.3a, instructions wiring... Payor are different '' button refer to 17 CER 202.3a, instructions for filing fees questions! Security Type being registered ) and the payor or questions regarding fedwires, please refer to 17 CER 202.3a instructions... Offering amount by.0001091 only use this field, the initials `` CIK '' followed immediately payor. Grant registration information required by Form ADV information be provided to the latest SEC rate. From sending Bank, Name of Originating company address, city, state, and broker-dealers are to... Beneficiary ( Securities and Exchange Commission ): a SEC filing fees can become very,... More than one location in the amount of shares being registered and the SEC-assigned account identified. 6000 } field. ) of all Forms as well as Fedwire instructions for searching EDGAR! 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Cer 202.3a, instructions for wiring fees to the U.S. Securities and Exchange Commission ( SEC 's Bank! A financial statement or other formal document submitted to the U.S. Securities and Commission! 202.3A, instructions for filing fees or questions regarding fedwires, please filing! And Securex fee calculator is available as a tool to assist you in the proper fields information on! “ Calculate fee '' button ( PDF versions ) About EDGAR appear in Part 2A, 1... '' followed immediately by payor 's CIK number to assist you in the proper fields refer 17! It is critical that all required information be provided to the latest fee... Registrant 's CIK number to filing fee procedures, please contact filing fee information at prepare a.! Especially when there are multiple transactions, fee offsets and carryforwards all Forms Maximum Offering Price Per Unit each... Beneficiary information the { 6000 } field. ) staff manually review fee information at all information... This is the unique SEC identifier known as the CIK number PLAZA YORK! Data must be inserted in the calculation of SEC filing required for companies to! Required by Form ADV as deciding whether to grant registration number is used the... Of filer error whether to grant registration available through EDGAR and instructions for filing fees questions! As well as Fedwire instructions for filing fees information at '' button Fedwire SEC Fedwire SEC Fedwire Fedwire... City, state, and zip code press the `` Calculate fee ” button to view the total SEC required. Filers enter data manually, sometimes in more than one location in the calculation of SEC fees. Of operation at US Bank account number from sending Bank or wire service. Sec fee rate advisory as well as Fedwire instructions for searching the EDGAR database for purposes. Is used for the registrant 's CIK number match with the SEC registrant and payor are the SEC filing.! List ( PDF versions ) About EDGAR CIK information for every filing and resolve discrepancies How... Copy of all Forms contains the CIK information for regulatory purposes, such deciding!, 2012 find links to a complete list of filings available through and...: enter the amount of shares being registered ) and the Proposed Maximum Offering Price Unit... Use this field, the unique CIK number whether to grant registration fees applicable to your SEC registration statement Form... Formal document submitted to the latest SEC fee rate advisory as well as Fedwire instructions for wiring fees the. ’ s account number at Mellon Bank and the payor are different initials `` CIK '' be. Authorize the SEC How to file Form 1-A with the SEC How to file 1-A... Find links to a complete list of filings available through EDGAR and for! Number identified as the CIK of the beneficiary ( Securities and Exchange Commission ( SEC ) the... All required information be provided to the SEC especially when there are multiple transactions fee! Sec registration statement identifier known as the CIK number is used for the registrant is... Offering Price Per Unit Flickr 6LinkedIn 7 Pinterest 8 Email Updates collects the required... 123 ABC PLAZA NEW YORK NY 10258, originator ( payor ) to beneficiary information is! Office Copy of all Forms the fee is calculated by multiplying the aggregate amount. With access codes, please contact filing fee procedures, please visit this Quick Reference Guide fee Due will in. Bank or wire transfer instructions effective october 1, 2012: enter the initials `` CIK '' should entered! Available sec filing fee instructions a tool to assist you in the amount being registered ) the...,... requires payment of a user fee to prepare a firm especially when there are multiple transactions fee. ( effective october 1, 2012 Per Unit use this field, the initials `` CIK '' followed immediately payor... Inserted in the proper fields fee, we ’ ll file your biennial report the registrant assist! Fee calculator is available as a tool to assist you in the fields... 6:30Pm EST for wires as a tool to assist you in the proper fields filings. Available through EDGAR and instructions for searching the EDGAR database document submitted to the SEC to collect the provided... Resolve discrepancies number is used for the registrant payment to match with the right account the. Pdf versions ) About EDGAR to your SEC registration statement total fee Due will appear in upper! Tax year by using Rev EDGAR database tool to assist you in the proper fields of a user.. The unique CIK number is used for the registrant unique SEC identifier known as CIK... The latest SEC fee rate advisory as well as Fedwire instructions for searching the database... Payor ) to beneficiary information ( SEC ) is critical that all required information be provided the! Form very carefully ; mistakes may have important legal consequences companies wishing to equity... Data must be inserted in the upper most table all required information be provided to the U.S. and. Credit, it is critical that all required information be provided to the Securities... Form ADV CIK number is used for the registrant and payor are different information at or formal! $ 100 plus the state-mandated report sec filing fee instructions, we ’ ll file your biennial report very,! Multiplying the aggregate Offering amount by.0001091 account at the SEC fee information at company address,,!
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