Shareholders that have questions regarding filing procedures, acceptance, receipt to posting, etc... some SEC phone numbers:
Office of Filings and Information
Services
This page provides information on making filings with the Commission, both electronically via EDGARr 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 Branch of EDGAR Operations,
Filer Support, at (202) 942-8900. Copies of the EDGAR Filer Manual and EDGARLinkr software may be purchased by contacting the Commission's Public Reference Room at publicinfo@sec.gov, or from Disclosure, Inc. at (800) 638-8241.
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. Paper filings include filings made under a hardship exemption, filings made by foreign private issuers and foreign governments, and Forms 3, 4, 5 and 144 (which may be filed either electronically or in paper, except that Forms 144 with respect to securities of a company that is not reporting with the SEC must be in paper).
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) 942-8980.
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 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 1024, Washington, DC 20549. Similar services are provided by Public Reference Rooms located in the SEC's Chicago (Midwest Regional) and New York (Northeast Regional) offices.
General information is available from the SEC Information Line at (202) 942-8088.
Examples of available information are: the SEC's hours of operation, including federal holidays and limited services provided during inclement weather; general information about the securities industry; and information about EDGAR. By following the automated
telephone system prompts, you can have selected text materials faxed to you using the "fax-on-demand" feature.
sec.gov
Last update: 02/25/98
Hopefully, all your questions about the initial filing procedure and timeline will be satisfactorily answered.
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