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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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Section 31 Fees Increase 14%
Effective 1/21/11, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the OTC markets will increase from $16.90 per million dollars in transactions to a new rate of $19.20 per million dollars in transactions.
FINRA Contacts. Finance-related questions: Sheila Gregory, Finance; (240) 386-5388. Legal & Interp questions: Brant Brown, Office of General Counsel; (202) 728-6927.
Fee Details. The SEC approved these fees under Fee Rate Advisory #5 for F/Y 2011, to fund federal agencies, including the SEC , for approximately 2 months. Thereafter, the SEC is authorized to make changes in fee rates, as appropriate. For further details, go to: [FINRA InfoNote, 1/6/11]
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