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
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
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. See https://www.sec.gov/ofm/Article/feeamt.html for more information.
WHERE TO PAY FILING FEES
Visit the Filing Fees Branch for payment options for your registration fees.