SEC Fees Payment Options

The account balance may include any offsets used to pay for fees, as well as possible refunds and deposits. Additionally, filers can view their account activity statement for the previous 12 months, one month at a time.

NOTE: The account information may take up to 24 hours from the date and time of the last transaction to display updated information on the Balance Information page.

View Account Balance and Amount of Last Deposit

Once you have logged into EDGAR and accessed the Retrieve/Edit Company and Submission Data page, you can view your balance information and amount of last deposit.

1. Click the ‘Retrieve Balance Information’ link. The Balance Information page opens displaying the CIK, account balance, and last deposit information for the filer.
2. View the account balance in the Account Balance field.
3. View the date and amount of the last deposit in the Date of Last Deposit and Amount of Last Deposit fields.

View Account Activity Statement

Once you have logged into EDGAR and accessed the Retrieve/Edit Company and Submission Data page, you can view your account activity statement for the previous 12 months, one month at a time:

1. Click the ‘View Account Activity Statement’ link. The View Account Activity Statement page opens
2. Select the statement period of the account activity statement from the Statement Period field. You can select the period that you want to view from one of the 12 previous statement periods.
3. Click the [Submit Request] button. The account activity statement for the selected period displays on the Account Activity Statement page.

The Filing Fees Branch is responsible for validating and collecting fees pursuant to Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities Exchange Act of 1934. Fees are generally associated with companies registering securities or debt, tender offers, and merger/acquisition transactions. For more information, please visit the Filing Fees Branch.

The SEC’s Division of Enforcement investigates and brings civil charges in Federal district court or in administrative proceedings based on violations of the Federal securities laws. An integral part of the program’s function is to seek penalties and the disgorgement of ill-gotten gains in order to return funds to harmed investors. For more information please visit Division of Enforcement.

Certified copies of records or documents may be requested using the Certified Document Request Form. For more information on public documents, please visit Records and Information.

The Freedom of Information Act (FOIA), which can be found in Title 5 of the United States Code, section 552, was enacted in 1966 and provides that any person has the right to request access to federal agency records or information. The Securities and Exchange Commission charges fees to those who request information under FOIA to cover the costs associated with fulfilling the request. For more details, please visit The Office of FOIA Services.

Participation by SEC members and staff in external meetings serves the public interests since it allows the staff to present and/or clarify the SEC’s position on matters that affect its work, to foster a clear understanding of applicable laws, and to provide the agency with an understanding of industry practices or conditions.

Title 31 U.S.C. 1353 grants the SEC authority to accept non-federal source travel reimbursement for attendance to meetings or similar functions.

The Securities Exchange Act of 1934, Section 31, Transaction Fees requires each national securities exchange and national securities association, SRO, to pay the SEC a fee based on the aggregate dollar amount of certain sales of securities.

Once you have logged into EDGAR and accessed the Retrieve/Edit Company and Submission Data page, you can request for a return of unused funds:

1. Click the ‘Request Return of Unused Funds’ link. The ‘Select the Method of Payment’ page should display.
2. Select whether you would like a return of your unused funds in the form of a check payment or a wire transfer.
3. Click the [Submit] button. The ‘Request Return of Unused Funds’ page displays.
4. Enter either your Social Security Number or Tax Identification Number in the corresponding fields. Ensure that the format of your SSN is DDD-DD-DDDD or your TIN is DD-DDDDDDD, where D is a digit.
5. Enter the amount (in dollars) to be refunded in the Amount of Request in US Dollars field.
6. Justify your request by selecting from the options given. If you select “Other”, then provide a description in the text box provided.
7. Enter the e-mail address (up to three) of anyone else that you want to notify if the request for refund has been accepted or rejected. An e-mail address must be in the standard e-mail format and include one “@” and at least one “.” after the “@”.
8. If necessary, you may update the Contact Name and Phone Number for this return of unused funds request.
   • Note: The Contact Name, Phone Number, CIK, Company or Individual name, and Mailing Address are pre-populated. However, only the Contact Name and Phone Number fields are editable for this request. Changes made to the Contact Name and the Phone Number on the request will not update the information stored in the EDGAR company database. To make a permanent change to the Contact Name, Phone Number, or other information maintained in EDGAR (e.g., name, mailing address, contact information, e-mail address), use the ‘Edit Company Information’ link available on the Request Return of Unused Funds page.
9. Provide the following additional details if you selected ‘Wire Transfer’ as the method of payment:
   • Name of the institution: Enter the name of the institution.
   • 9-digit routing number (ACH ABA#): Enter the 9 digit routing number in the format DDDDDDDDD where D represents a digit.
   • Depositor’s Account Number: Enter the account number of the depositor.
   • Type of Account: Specify the type of account, whether it is a savings or a checking account.
10. Click the [Submit Request] button on the ‘Request Return of Unused Funds’ page. The ‘Request Return of Unused Funds Confirmation’ page should display.
11. Click the [Submit Request] button on the ‘Request Return of Unused Funds Confirmation’ page. You will be notified of the status of your request via e-mail – whether the request for return of unused funds was accepted or denied.

• Note: You can also view the notification via the ‘Retrieve Submission Information’ link on the OnlineForms Management or the EDGAR Filing website.

Click the [Cancel Request] button to return to the Request Return of Unused Funds page.

In this example: JJJ CO, CIK9999999998 is the payor and the registrant. Tag {6000} contains the CIK information for payment to match with the right account at the SEC.

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.

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.

Company A files a registration statement on August 30, 2003, covering a proposed public offering of one million shares of common stock. The registration statement also covers an offering of notes totaling $500 million. Company A’s common stock is trading on NASDAQ at $16 1/2 per share. The 1933 Act fee for the registration statement would be $41,784.85 based on the fiscal year 2003 fee rate of $80.90 per million dollars. The calculation is presented below.

Example Calculation of Registration Fee

Step 1: Amount to be Registered X Price = Aggregate Offering Price

Step 2: Aggregate Offering Price X Fee Rate of 0.0000809 = Registration Fee

On January 8, 2003 Company A makes a $1 billion cash tender offer for the securities of Company B. The fee required with the SC TO-T filing by Company A is $92,000. The fee was calculated by multiplying the bid amount times the fee charge of 0.000092

$1,000,000,000 X 0.000092 = $92,000

On January 17, 2004, Company A decides to amend its registration to add an additional 250,000 shares of common stock to the proposed offering. Company A’s common stock is now trading on NASDAQ at $15 per share. The additional 1933 Act fee required with the registration statement amendment would be $475.13. The calculation is presented below:

Example Calculation of Registration Fee

Step 1: Amount to be Registered X Price = Aggregate Offering Price

Step 2: Aggregate Offering Price X Fee Rate 0.0001267= Amount of Registration Fee

$92.70 per $1,000,000

The fee is calculated by multiplying the aggregate offering amount by .0000927

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

For more information, see the fee rate advisory notice.

Effective October 1, 2021

Registrants of fee-bearing forms will need these codes to monitor and better manage accounts online, request unused funds, or view Fee Account Information.

Filers are responsible for depositing funds in advance of their filing when the filing requires a fee.  Sometimes the correct fee for the filing is not available.  This may be due to a calculation error on the filer’s part or an issue with the funds not being deposited.  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.

No.  The SEC only accepts FEDWIREs.

Yes.  Always include the CIK.  When making a wire payment, you must include the SEC-assigned CIK number.  Do not use spaces, blanks, or special characters when entering CIK number.  Use letters CIK followed immediately by your CIK number. 

For example:  CIK0000000000

No.  Once a statement is filed, there will be no refund.  However, a registrant can request a refund if a filing has been overpaid.