The Electronic Form Filing System (EFFS) is a secure, web-based system used for filing Form 19b-4, 19b-7, and SCI. The system also supports prefilings of certain types of Form 19b-4 filings. EFFS is used for form filing by Self-Regulatory Organizations (SROs), including national securities exchanges, national securities associations, clearing agencies, and Systems Compliance Integrity (SCI) entities, including SCI SROs, SCI alternative trading systems, plan processors, and exempt clearing agencies subject to Automation Review Policy.

Obtain EFFS Access

Individuals requesting access to EFFS must contact the EFFS point of contact at their EFFS filing entity.

For Assistance

For policy or technical questions, contact SEC staff at EFFSQuestions@sec.gov. Please include a description of the inquiry as well as your name and a telephone number.