Office of Filings and Information Services

This page provides information on making filings with the Commission, both electronically via EDGAR^® and in paper, and on paying fees associated with those filings. For your convenience, all of the support areas listed below may be contacted via the Internet group mailbox at publicinfo@sec.gov, by telephone at their respective numbers indicated below, or via postal mail at 450 Fifth Street, N.W., Washington, DC 20549.

Because e-mail on the Internet is not secure, you should not send confidential or sensitive information to an SEC mailbox. Also note that responses sent by us over Internet e-mail are not considered statements of SEC policy or Commission opinion. The OFIS mailbox should not be used to submit filings under any circumstances; such submissions will not be considered filed with the Commission. Filings should be sent via EDGAR (if the company is mandated to file electronically), otherwise, filings should be sent via postal mail or courier to the address indicated above.

About the Office of Filings and Information Services

Making Filings

• EDGAR. For information about some of the more common EDGAR Filer Issues, you may wish to link to the EDGAR Filer Help Sheet, or contact the Branches of Filer Support or Filer Technical Support at (202) 942-8900. Copies of the EDGAR Filer Manual can be obtained by accessing the public web site and the EDGARLink^® software can be downloaded from the EDGAR filing web site.
   
• Paper Filings. For general assistance with making a filing in paper, please contact the Filing Desk at (202) 942-8050. Most filings must be made on EDGAR (Submission Types Accepted for Electronic Filing). Paper filings include but are not limited to Forms D, 144, ARS, 11K, SE and filings made under a hardship exemption or confidential treatment.
   
  Questions regarding paper filings for broker dealers, i.e., Forms GFIN, X-17-A-5, TA, MSD and investment advisers, i.e., Forms ADV-E, ADV-H, and ADV-NR, contact the Branch of Registration and Examination at (202) 942-7820.
   
• Broker-Dealers, Investment Advisers, Transfer Agents, and Municipal or Government Securities Dealers that require assistance in registering with the Commission or amending a registration or need assistance regarding reporting requirements should contact the Branch of Registrations and Examinations at (202) 942-7820.
   
  If you would like to register with the Commission as a Transfer Agent or a Municipal or Government Securities Dealer, or if you have general questions regarding who is required to register, you should obtain the Commission's transfer agent and municipal or government securities dealers registration package. The transfer agent and municipal or government securities dealers registration package can be obtained by calling the Publication Unit at (202) 942-4046 or by writing to the Publications Unit, Securities and Exhange Commission, 450 5th Street, N. W., Washington DC 20549, or by electronic mail request to publicinfor@sec.gov.
   
  Once you have reviewed the registration package, and determined that you are required to register with the Commission, you must submit your completed registration package to the Securities and Exchange Commission, Office of Filings and Information Services, Branch of Registrations and Examinations, Mail Stop 0-25, 450 5th Street, N.W., Washington, DC 20549.

Paying Associated Filing Fees

• For information about some of the more common Filing Fee issues, you may wish to see the EDGAR Filer Help Sheet, or information about the FEDWIRE format for wire transfers. Questions concerning the payment of fees associated with filings should be directed to the Fee Unit at (202) 942-8989. Information about the fees themselves is available on this site.

OFIS can also help you obtain copies of items in the Commission's files, such as copies of corporate filings and notices of Commission action. For your convenience, all of the support areas listed below may be contacted via the Internet group mailbox at publicinfo@sec.gov, by telephone at their respective numbers indicated below, or via postal mail at 450 Fifth Street, N.W., Washington, DC 20549.

Access to Commission Information

• Public Reference. Members of the public who require assistance in obtaining copies, including certified copies, of public Commission records (such as corporate filings and notices of Commission action) may contact the Public Reference Room at (202) 942-8090. This office is equipped with a TTY machine to receive inquiries from the hearing impaired at (202) 942-8092. Access to EDGAR (for documents submitted electronically) and Thomson Research (for imaged paper filings) terminals and the public library of Commission information is provided through the Commission's Public Reference Room between the hours of 9:00 a.m. and 5:00 p.m., except federal holidays and official closings, at 450 Fifth Street, N.W., Room 1300, Washington, DC 20549. See the attached Operating Rules and Procedures of the Public Reference Room for further guidance.

 
• Freedom of Information Act and Privacy Act. For information on requesting access to non-public Commission records under these statutes please visit that FOIA webpage. You may contact the FOIA/PA Branch by calling (202) 942-4320 or by e-mail: foia/pa@sec.gov.
   
• Government Requests for Commission documents can be directed to the Records Management Branch at (202) 942-7850.
   
• Government Information Locator Service (GILS). The SEC GILS Core Records Locator is available at the GPO server at: http://www.access.gpo.gov/su_docs/gils/index.html.
   
• General information is available from the SEC Information Line at (202) 942-8088. This number allows callers to obtain telephone numbers of SEC employees, and directs callers to particular SEC Offices. You can find a list of SEC telephone numbers here.

http://www.sec.gov/info/edgar/ofis.shtml