Information Notice 10/2/09

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

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.