Information Notice - October 2, 2009

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

Executive Summary

Beginning October 1, 2009, the Securities and Exchange Commission (SEC) will be operating under a continuing resolution for fiscal year (FY) 2010. 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 $25.70 per million dollars until further notice.


Questions concerning this Notice may be directed to:


  • Kathleen O’Mara, Office of Oversight, Liaison and Counsel, at (240) 386-5309; or
  • Robert Wood, Senior Vice President, Finance, at (240) 386-5298.