The SEC Pulse

SEC Raises Fees for Issuers

Posted by Howard Berkenblit on September 1, 2016 at 1:31 PM

The SEC has announced that in fiscal year 2017 the fees that public companies and other issuers pay to register their securities with the Commission will be set at $115.90 per million dollars.  This change, which will begin on October 1, 2016, is an increase from the current rate of $100.70 per million dollars.

Click below for more SEC filing requirements and obligations of directors, officers and principal stockholders of a publicy held companies.

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Topics: SEC, registration fees, Issuers

New SEC fee calculator!

Posted by Howard Berkenblit on April 19, 2016 at 11:01 AM

Not that it was all that difficult to begin with, but the SEC has released an online tool to help companies calculate registration fees for certain form submissions to EDGAR. According to the SEC’s press release, “the new tool is intended to improve the accuracy of fee calculations and minimize the need for corrections.” The new tool covers the most common filings companies use to register initial public offerings, debt offerings, asset-backed securities, closed-end mutual funds, limited partnerships, and small business investment companies. The tool prompts users to enter data based on the type of filing and the applicable fee rules and provides suggestions for completing required fee tables based on the data entered. Of course, the SEC reminds filers that this is just a tool to help - companies will remain responsible for paying all required fees and accurately including all required information in their filings.

The Registration Fee Estimator is available at https://www.sec.gov/ofm/registration-fee-estimator.html

Topics: SEC, EDGAR, initial public offerings, registration fees

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The SEC Pulse provides updates and commentary from our Capital Markets Group on issues affecting publicly traded and privately owned businesses, investment banks and foreign companies who trade or raise capital in the United States, and boards of directors and company officers in securities transactions and corporate governance matters. 

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