1. Do I need passcodes to view my EDGAR account online?

2. What will happen if sufficient funds are not in my account when I file?

3. Does the SEC accept Swift Code Wires?

4. Should I always include my CIK in my wire payments?

5. Are filing fees refundable? 

Q & As

1. Do I need passcodes to view my EDGAR account online?

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

2. What will happen if sufficient funds are not in my account when I file?

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.

3. Does the SEC accept Swift Code Wires?

No.  The SEC only accepts FEDWIREs.

4. Should I always include my CIK in my wire payments?

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

5. Are filing fees refundable? 

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