Information Notice 11/26/12

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

 

Effective Date: May 1, 2013

Executive Summary

Since October 1, 2012, the SEC has been operating under a continuing resolution for fiscal year 2013. As such, the Section 31 rate applicable to specified securities transactions on the exchanges and in the over-the-counter market will remain at $22.40 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 Brant Brown, Associate General Counsel, at (202) 728-6927.