Information Notice - November 3, 2008

Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act

Executive Summary

The SEC has been operating under a continuing resolution for fiscal year (FY) 2009 since October 1, 2008. As such, the Section 31 rate applicable to the sales of specified securities transactions on the exchanges and in the over-the-counter markets will remain at the current rate of $5.60 per million until further notice.

 

Questions concerning this Notice should be directed to Rob Renner, FINRA Senior Director of Accounting Operations, at (240) 386-5303; or Kathleen O’Mara, Associate General Counsel, Finance, at (240) 386-5309.