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U.S. Securities and Exchange Commission

For the most recent previous instructions, see Fee Payment Instructions, Prior to October 1, 2012

New Filing Fee Payment Instructions, Effective October 1st, 2012

United States Securities and Exchange Commission

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 (Instructions for Obtaining U.S. Bank's Account Number to Submit Wire Transfers (FEDWIRE)). Check payment instructions are unchanged and checks will continue being received through the old US Bank Treasury account number.

Introduction

All companies that sell their securities to investors in United States markets are required to file certain information about their finances, ownership, and management with the SEC on a periodic basis. Other companies, such as mutual funds, and certain individuals who own securities are required to file reports with the SEC as well. There is a fee required to be paid for many of these filings. The information that follows is for filers who anticipate submitting fee payments via wire transfer.

Below are links to the new instructions for remitting fees to the SEC by wire transfer (FEDWIRE), check, or money order. They have been changed as of October 1, 2012. Please note the change of account numbers in the instructions.

You may contact the Fee Account Services Branch in the Office of Financial Management at (202) 551-8989 for additional information if you have questions.

Instructions for Wire Transfer (FEDWIRE)

General Information

  • US Bank in St. Louis, Missouri, is the U.S. Treasury designated financial agent for SEC filing fee payments. The hours of operation at US Bank are 8:30a.m. to 6:00p.m. eastern time for wires.
     
  • Any bank or wire transfer service may initiate wire transfers of filing fee payments through the FEDWIRE system to US Bank. A filing entity does not need to establish an account at US Bank in order to remit filing fee payments.
     
  • To ensure proper credit and prompt filing acceptance, it is critical to include:
     
    Note: The American Bankers Association Receiving Bank's ABA Number and Receiving Bank's Name has changed to 021030004 (9 positions) TREAS NYC.
     
  • 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.
     
  • 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. To ensure proper credit, it is critical that all required information be provided to the sending bank or wire transfer service. SEC data must be inserted in the proper fields. The most critical data are the SEC's account number at US Bank and the SEC-assigned account number identified as the CIK number. For additional information on filing fee procedures, please refer to 17 CFR 202.3a, Instructions for Filing Fees. If you have any questions, please contact the Fee Account Services Branch in the Office of Financial Management at (202) 551-8989.

FEDWIRE Field Tags and Terminology

Tag Terminology Format
{2000} Transaction Dollar Amount - Total Wire Value
(Example: $250.00 formatted is 000000025000)
Total wire amount, no commas or decimals. The last two positions of the transaction dollar amount are for cents. 12 positions total.
{3100} Sending (Initiating) Bank's ABA Number and Sending (Initiating) Bank's Name 000123790 (9 positions)
XYZ Bank
{3400} ABA = American Bankers Association
Receiving Bank's ABA Number and Receiving Bank's Name
021030004 (9 positions)
TREAS NYC
{4200} Beneficiary Information (SEC's Account number at US Bank, which should always be U.S. Bank's Account Number
Name of the beneficiary (which should always be Securities and Exchange Commission).
U.S. Bank's Account Number
Securities and Exchange Commission
{4320} Reference to Beneficiary. Only use this field if the SEC registrant and the payor are different. In this field, the unique CIK number is used for the registrant. In this field, the initials "CIK" should be entered immediately followed by the registrant's CIK number. (If the registrant and payor are the same, use only the {6000} field.) CIK9999999995
{5000} Originator Information - Originating customer account number from sending bank, name of originating company address, city, state, and zip code. 12345 ABC CO
123 ABC PLAZA
NEW YORK NY 10258
{6000} Originator (Payor) to Beneficiary Information. This is the unique SEC identifier known as the CIK of the payor. Enter the initials "CIK" followed immediately by payor's CIK number. (If the registrant is not the payor, enter the registrant's CIK in the {4320} field, as shown above). CIK9999999998

NOTE: The numeric tags displayed in bold contain the wire information that you provide to the banks and/or wire service sending the wire. Your bank and/or wire service or the Federal Reserve will automatically enter the required special characters where appropriate prior to sending the wire to US Bank.

Example and Description of the Fedwire Format

Definition of Fed Tag Values Fed Tag Value
Transaction Dollar Amount (total wire value) with no decimal, no comma(s) (12 positions)
(Example: $250.00 = 000000025000)
{2000} 000000025000
Sending Bank's ABA Number (9 positions), and Sending Bank's Name {3100} 000123790
XYZ BANK
Receiving Bank's ABA Number (9 positions), and Receiving Bank's Name {3400} 021030004
TREAS NYC
Beneficiary Information (BNF) (SEC's Account Number at US Bank) Beneficiary Name {4200} U.S. Bank's Account Number
Securities & Exchange Commission
Reference to Beneficiary (RFB) Registrant's SEC-assigned CIK number if payor and registrant are different. In this field, enter the initials "CIK" followed immediately by the SEC-assigned CIK number. An example of this is CIK9999999995. (Do not use spaces, blanks, or special characters). {4320} CIK9999999995
Originator Information (ORG) Originating customer account number from sending bank; name of originating company; and originator's address, city, state, and zip code. {5000} 12345 ABC COMPANY 123
ABC PLAZA NEW YORK NY
10258
Originator to Beneficiary Information, (OBI) used to identify the SEC CIK number of the payor. In this field, enter the initials as "CIK" followed immediately by the SEC-assigned CIK number. An example of this is CIK9999999998. (Do not use spaces, blanks, or special characters.) {6000} CIK9999999998

Examples

Fedwire Format — Third Party Payor Submitting Payment for Filing

In this example: ABC Company, CIK9999999998 is the payor having its wire payment submitted to US Bank, and XYZ Company, CIK 9999999995 is the registrant. See Tags {4320} (use when registrant and payor are not the same, and therefore have different CIK numbers) and {6000} (always payor's CIK).

Fed Tag Value
{2000} 000000025000
{3100} 000123790 XYZ BANK
{3400} 021030004
TREAS NYC
{4200} U.S. Bank's Account Number
SECURITIES AND EXCHANGE COMMISSION
{4320} CIK9999999995
{5000} 12345 ABC CO 123
ABC PLAZA NEW YORK NY 10258
{6000} CIK9999999998

Fedwire Format — Registrant is the Payor

In this example: JJJ CO, CIK9999999998 is the payor and the registrant; therefore, tag {4320} is not used. Tag {6000} contains the CIK information for payment to match with the right account at the SEC.

Fed Tag Value
{2000} 000000025000
{3100} 00034690 NEW BANK
{3400} 021030004
TREAS NYC
{4200} U.S. Bank's Account Number
SECURITIES AND EXCHANGE COMMISSION
{5000} 37774 JJJ CO
100 BIG PLAZA ALBANY NEW YORK NY 12714
{6000} CIK9999999998

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. 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  63197-9000

The following address can be used for common carriers such as FedEx, Airborne, DHL, and UPS.

U.S. Bank
Government Lockbox 979081
1005 Convention Plaza
SL-MO-C2-GL
St. Louis, MO 63101

 

http://www.sec.gov/info/edgar/fedwire.htm


Modified: 09/15/2014