On March 1st, the SEC announced that it has determined that a mid-year adjustment to the Section 31 fee rate for fiscal year 2023 is not required. The fee rates that apply to most securities transactions will remain at the current rate of $8.00 per million (as previously announced in January 2023
). The rate will remain in place until September 30, 2023 or 60 days following the passing of a regular FY 2024 appropriation, whichever is later. Additionally, the Section 31 assessment on security futures transactions will remain unchanged at $0.0042 for each round turn transaction.
The SEC will publish further notices on sec.gov to keep the public apprised of developments relating to fees under Section 31.
The Office of Interpretation and Guidance in the SEC’s Division of Trading and Markets welcomes inquiries regarding Section 31 by phone at (202) 551-5777, or via email at firstname.lastname@example.org.
Fee Rate Advisory #3 For Fiscal Year 2023 (sec.gov)