17 C.F.R. § 202.3a Instructions for filing fees.
Title 17 - Commodity and Securities Exchanges
Payment of filing fees specified by the following rules shall be made according to the directions listed in this part: §230.111 (17 CFR 230.111), §240.0–9 (17 CFR 240–0.9), §260.7a-10 (17 CFR 260.7a-10), and §270.0–8 (17 CFR 270.0–8). All such fees payable by electronic filers (§232.11(e) of this chapter), including those pertaining to documents filed in paper pursuant to a hardship exemption, shall be remitted to the U.S. Treasury designated lockbox depository at the Mellon Bank in Pittsburgh, Pennsylvania, by wire transfer, mail or hand delivery. Fees payable by paper filers may be either remitted to the lockbox depository, or remitted directly to the Commission at 450 Fifth Street NW., Washington DC 20549. Personal checks cannot be accepted for payment of fees. To ensure proper posting, all filers must include their assigned CIK account numbers on fee payments. If a third party submits a fee payment, the fee payment must specify the account number to which the fee is to be applied. Filing fees paid pursuant to Section 6(b) of the Securities Act of 1933, including fees paid pursuant to section 24(f) of the Investment Company Act of 1940 (15 U.S.C. 80a–24(f)) or pursuant to Section 307(b) of the Trust Indenture Act of 1939 should be designated as “restricted,” except that filing fees paid with respect to registration statements filed pursuant to Rule 462(b) (§230.462(b) of this chapter) should be designated as “unrestricted.” Specific instructions on the various methods of making fee payments to the lockbox depository are as follows: (a) Wire transfer: Those who wish to wire fee payments may use any bank or wire transfer service to initiate the transaction. All remitters must follow standard Federal Reserve instructions to ensure that fees transferred are received and identifiable. Specific information required for transmission to the Mellon Bank is listed below. Where an item is in (1) Receiving Bank's ABA Number (field two); 043000261 (2) Type Code (field three): 1040 (3) Name of registrant and name of payor, if different (field nine): ORG=registrant's name/payor's name (if different) (4) Receiving Bank's Name (field ten): MELLONBANK (5) Transaction Code (field eleven): CTR/ (6) Beneficiary of payment (field twelve): BNF=SEC/AC-9108739/WRE (7) Reference for Beneficiary (field thirteen): RFB=account number to which the fee is to be applied (8) Payment Details (field fourteen): To designate funds as restricted: OBI=R, Otherwise: OBI=N. (b) Mail and hand delivery: Checks and money orders are to be made payable to the Securities and Exchange Commission, omitting the name or title of any official of the Commission. The account number and a notation of “R” (restricted), as applicable, are to be written on the front of the check or money order. Fees transmitted by mail must be addressed to the Securities and Exchange Commission, Post Office Box 360055M, Pittsburgh, Pennsylvania 15252. Fees that are hand delivered must be brought to the Mellon Bank, 27th floor, Three Mellon Bank Center, Fifth Avenue at William Penn Way, Pittsburgh, PA. Hand deliveries will be accepted weekdays from 7:30 a.m. to 4:00 p.m. (eastern time). No deliveries can be made on Federal holidays. All hand deliveries must be in a sealed envelope, with the Commission's lockbox number, 360055M, and the Commission's account number, 910–8739, written on the outside. Cash payments must be accompanied by a separate sheet of paper providing the same information specified for checks and money orders. (c) Filing fee accounts. (1) A filing fee account is maintained for each filer who submits a filing requiring a fee on the Commission's EDGAR system or who submits funds to the U.S. Treasury designated depository in anticipation of paying a filing fee. Account statements are regularly prepared and provided to account holders. Account holders must maintain a current account address with the Commission to ensure timely access to these statements. (2) Funds held in any filing fee account in which there has not been a deposit, withdrawal or other adjustment for more than 180 calendar days will be returned to the account holder, and account statements will not be sent again until a deposit, withdrawal or other adjustment is made with respect to the account. Filers must maintain a current account address to assure the timely return of funds. It may not be possible to return funds from inactive accounts if the Commission is unable to identify a current account address of an account holder after making reasonable efforts to do so. Note to paragraph (c). A company may update its account and other addresses using two different methods. The preferred and most efficient method is to change them online using the EDGAR filing website. This method ensures data integrity and the most timely update. Alternatively, a company may report a change of addresses on an amended Form ID [17 CFR 239.63; 17 CFR 249.446 and 17 CFR 274.402]. Simply changing an address in the text of the cover page of a filing made on the EDGAR system will not be sufficient to update the Commission's account address records. [58 FR 15010, Mar. 18, 1993, as amended at 60 FR 26613, May 17, 1995; 61 FR 49959, Sept. 24, 1996; 62 FR 47938, Sept. 12, 1997; 68 FR 50955, Aug. 22, 2003]
Title 17: Commodity and Securities Exchanges
PART 202—INFORMAL AND OTHER PROCEDURES
§ 202.3a Instructions for filing fees.
