You must pay filing fees when you submit most registration statements under the Securities Act of 1933, transaction filings such as merger proxy statements under the Securities Exchange Act of 1934, and applications on Form T-3 under the Trust Indenture Act of 1939. You do not pay an initial registration fee for mutual fund and unit investment trust registration statements, but you pay fees each year when you file your Form 24F-2.

If your filing is fee bearing and adequate funds are not available in your account, the filing will eventually be suspended. Fees are charged for fee bearing filings regardless of the type of tool used to construct your filing.

Note: When you transmit a test submission, EDGAR checks your U.S. Bank fee deposit and informs you if you are lacking your fees.

Filings that Require Filing Fees

1933 Act Filings by Corporations

You must pay a filing fee with the following 1933 Act filings:
S-1, S-2, S-3, S-3D, S-4, S-4EF, S-8, S-11, SB-1, SB-2, S-20, F-1, F-2, F-2D, F-3, F-3D, F-4, F-6, F-6EF, SF-1, SF-3MEF

You also must pay a fee with all rule 462(b) filings – form types with a “MEF ” suffix. You will be required to pay a filing fee on pre-effective amendments to registration statements (e.g., S-1/A) if additional securities are being registered in the amendment. Since you cannot register additional securities by post-effective amendment, no fee is required for these filings (e.g., S-8POS).

1934 Act Filings

You must pay a filing fee with the following 1934 Act filings:
SC TO-T, SC TO-I, SC 13E-3, SC13E4F, SC14D1F

A fee is sometimes required for the following 1934 Act Filings:
PREM14A, PREM14C, PRER14A, PRER14C, SC 13E1

1933 and 1940 Act Filings by Investment Companies

You must pay a filing fee with the following EDGAR submissions made by investment companies:
24F-2NT, N-2, N-5, N-14 8C, N-14MEF

[Obtained from the SEC’s EDGAR Filer Management website]

Your registration fee is calculated based on the proposed public offering of shares of common stock. The current fee is $147.60 per $1,000,000. (Information obtained from https://www.sec.gov/ofm/Article/feeamt.html)

Where to Pay Filing Fees

Visit the Filing Fees Branch for payment options for your registration fees.

For data users, Inline XBRL provides an easier way to view, access, and explore the contextual information of the underlying data. For example, users can click on individual tagged data points in the filing to find more information about the data, such as citations and hyperlinks to the relevant accounting guidance, narrative definitions for the values, and reporting period information associated with each value.

You will receive five codes from the SEC when you submit your Form ID request. Each code serves a different, important purpose:

CIK (Central Index Key) – This is a unique code assigned by the SEC which identifies your company to the SEC. This code is searchable on EDGAR and is available to the public.

CCC (CIK Confirmation Code) – This code, along with the CIK number, is used to submit your filings. This code is confidential and NOT available to the public.

Password – This is a unique confidential code used along with the CIK number to access EDGAR. This code expires annually.

PMAC (Password Modification Authorization Code) – This code is used to authorize a change of password and is extremely confidential.

Passphrase – This security code is used along with the CIK to regenerate new EDGAR Access Codes if needed.

If you’ve already registered with the SEC, but no longer have your filing codes, please let us know. If you have some information (passphrase, password, etc.), we can use that to generate new codes. Otherwise, we can request a new set of codes using your CIK number alone. We will provide you with a form to be notarized and faxed to the SEC.

If you haven’t registered with the SEC yet, we can also help you obtain your filing codes by filing a Form ID. Please contact us today to get started.

You must complete a 12b-25 (Notice of Late Filing) which is due one business day following the original filing due date.This will allow for an additional 5-15 calendar days from the date the filing was originally due depending on the type of filing. A template for the 12b-25 can be accessed on the FORMS tab.

You can email your documents to us at [email protected]. We have provided Word templates for many of the common SEC form types on the FORMS tab for your convenience. We prefer documents to be provided in Microsoft Word and Excel format. We can convert from PDF as well, but it requires additional labor and time to complete.

Depending on size and volume, we can typically EDGARize and return your documents to you the same day they are received. iXBRL filings typically take up to 36-48 hours to prepare. If you have an urgent deadline, please make sure to communicate that to us so we can ensure your document is returned ASAP.

We will send you a confirmation email from the SEC once your filing has been accepted. Visit our HOW IT WORKS tab for more information.

10-Q’s must be filed within 45 days from fiscal quarter end for non-accelerated filers and within 40 days for accelerated filers. 10-K’s must be filed within 90 days from fiscal year end for non-accelerated filers and within 75 days for accelerated filers. See our FILING CALENDAR for more information.

We accept check, credit card, wire transfers and online payments using your U.S. bank account. We offer additional discounts for clients that prepay their EDGAR fees.

While the SEC had previously required that XBRL files were posted on the registrant’s website, they have eliminated the website-posting requirement for iXBRL filings.