Information Notice – 4/3/19

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

Effective Date: April 16, 2019

Summary

Effective April 16, 2019, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $13.00 per million dollars in transactions to a new rate of $20.70 per million dollars in transactions.

Finance-related questions should be directed to:

Legal and interpretive questions should be directed to:

  • Lisa Horrigan, Associate General Counsel, Office of General Counsel (OGC), at (202) 728-8190; or
  • Alexander Ellenberg, Associate General Counsel, OGC, at (202) 728-8152.