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Announcement

A New Accounting and Filing Review System for the Filing Fees Branch

May 30, 2017

On May 30, 2017, the Office of Financial Management’s Filing Fees Branch (FFB) implemented a new accounting sub-ledger system for processing and reviewing fee-bearing filings submitted in EDGAR.  The system is used for SEC’s accounting functions and streamlines the internal filing fee review process.  Of particular note is the system’s ability to enhance communication with registrants by automatically generating email notices for the following:

  • Dormant Account Notices - sent to registrants who have submitted funds to the SEC for the purpose of paying required filing fees, but have not submitted a fee-related filing or made a deposit in the past three years.
  • Accounts Receivable Notices – Demand for Payment
  • Notices of Filing Fee Adjustments made by FFB
  • Return of Unused Monies Refunded to Registrant
  • Requests for Additional Information from registrants related to filing fees

If you have any concerns or questions regarding the above changes, or any filing fee-related questions, please contact the Filing Fees Branch at 202-551-8900, Option 1.