Breadcrumb

Final Rule

Filing Fee Disclosure and Payment Methods Modernization

Overview

We are adopting amendments that will modernize filing fee disclosure and payment methods. We are amending most fee-bearing forms, schedules, statements, and related rules to require each filing fee table and accompanying disclosure to include all required information for fee calculation in a structured format. The amendments will add options for fee payment via Automated Clearing House ("ACH') and debit and credit cards, and eliminate options for fee payment via paper checks and money orders. The amendments are intended to improve filing fee preparation and payment processing by facilitating both enhanced validation through filing fee structuring and lower-cost, easily routable payments through the ACH and debit and credit card payment options. Finally, the Commission is adopting other amendments to enhance the efficiency of the fee process.

Prior Actions

Last Reviewed or Updated: May 12, 2023

Details

File Number
S7-20-19
Rule Type
Final
Release Number
33-10997
34-93285
IC-34396
SEC Issue Date
Effective Date

January 31, 2022, except for amendments to 17 CFR 203.3a, 17 CFR 230.111, 17 CFR 240.0-9 and 17 CFR 270.0-8 regarding payment options, which are effective on May 31, 2022.

Compliance Date

See Section II.A.6 for further information on transitioning to the final rules.

Federal Register Publish Date
Document Citation

86 FR 70166

RIN
3235-AL96