Information Notice 12/14/10

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

Executive Summary

Since October 1, 2010, the SEC has been operating under a continuing resolution for fiscal year 2011. As such, the Section 31 rate applicable to specified securities transactions on the exchanges and in the over-the-counter market will remain at $16.90 per million dollars until the SEC’s regular fiscal budget is approved and firms are advised of the final date for implementing a rate change.

 

Finance-related questions should be directed to:

  • Sheila Gregory, Accounting Manager, Finance, at (240) 386-5388.


Legal and interpretive questions should be directed to:

  • Kathleen O’Mara, Associate General Counsel, Office of Oversight Liaison and Counsel, at (240) 386-5309 or
  • Brant Brown, Associate General Counsel, Office of General Counsel, at (202) 728-6927.