(a) The date on which any papers are actually received by the Commission shall be the date of filing thereof, if all
the requirements of the act and the rules with respect to such filing have been
complied with and the required fee paid. The failure to pay an insignificant
amount of the required fee at the time of
filing, as the result of a bona fide error, shall not be deemed to affect
the date of filing.
(1) Notwithstanding paragraph (a) of this section, a well-known seasoned issuer that registers securities
offerings on an automatic shelf registration statement, or registers
additional securities or classes of securities thereon pursuant to Rule
413(b) (§ 230.413(b)), may, but is not required to, defer payment of all or any part of
the registration fee to the Commission required by section
6(b)(2) of the Act on the following conditions:
(i) If the issuer elects to defer payment of the registration fee,
it shall pay the registration fees (pay-as-you-go registration fees)
calculated in accordance with Rule 457(r) (§
230.457(r)) in advance of or in connection with an offering of securities from the registration statement
within the time required to file the prospectus supplement pursuant to Rule 424(b) (§ 230.424(b)) for the offering, provided, however, that if the
issuer fails, after a good faith effort to
pay the filing fee within the time required by this section, the
issuer may still be considered to have paid
the fee in a timely manner if it is paid within four business days of its
original due date; and
(ii) The issuer reflects the amount of the pay-as-you-go registration fee paid or to
be paid in accordance with paragraph (b)(1)(i) of this section by updating
the “Calculation of Registration Fee” table to indicate the class and
aggregate offering price of securities offered and the amount of registration fee paid or to be paid in
connection with the offering or offerings either in a post-effective
amendment filed at the time of the fee payment or on the
cover page of a prospectus filed pursuant to Rule 424(b) (§ 230.424(b)).
(2) A registration statement filed relying on the pay-as-you-go registration
fee payment provisions of paragraph (b)(1) of this section will be
considered filed as to the securities or classes of securities identified in
the registration statement for purposes of this section and section 5 of the Act when it is received by the Commission, if it complies with all other requirements of
the Act and the rules with respect to it.
(3) The securities sold pursuant to a registration statement will be
considered registered, for purposes of section 6(a)
of the Act, if the pay-as-you-go registration fee has been paid
and the post-effective amendment or prospectus including the amended “Calculation of
Registration Fee” table is filed pursuant to paragraph (b)(1) of this
[16 FR 8737, Aug. 29, 1951, as amended at 70 FR 44818, Aug. 3, 2005]
Title 17 published on 2015-04-01.
The following are only the Rules published in the Federal Register after the published date of Title 17.
For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.
This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.