Information Notice - 3/16/09

New Rate for Fees Paid Under Section 31 of the Exchange Act

Effective Date: April 10, 2009

The SEC is making amid-year adjustment to the fee rates applicable under Section 31 (b) and (c) of the Securities Exchange Act of 1934. Effective April 10, 2009, the Section 31 rate applicable to the sales of specified securities transactions on the exchanges and in the over-the-counter markets will be at the new rate of $25.70 per million of the aggregate dollar amount of sales of securities. This fee rate will remain in place until further notice.

Questions concerning this Notice should be directed to:

  • Rob Renner, FINRA Vice President and Assistant Controller, at (240) 386-5303; or
  • Kathleen O’Mara, Associate General Counsel, Finance, at (240) 386-5309.