Rule 31 Section 31 transaction fees; Form R31-Form for reporting covered sales and covered round turn transactions under Section 31 of the Securities Exchange Act of 1934

Rule 31 establishes the procedure for calculating the fees and assessments due from national securities exchanges and national securities associations (collectively, “SROs”) pursuant to Section 31 of the Exchange Act. Under Rule 31, the SROs are required to submit Form R31 to the SEC within ten business days after the end of every month. The SROs are required to report on Form R31 data on all sales of securities that are subject to Section 31 fees and all of round turn transactions in security futures that are subject to Section 31 assessments. Based on that data, the SEC calculates the fees and assessments owed by each SRO.

The latest form for Rule 31 Section 31 transaction fees; Form R31-Form for reporting covered sales and covered round turn transactions under Section 31 of the Securities Exchange Act of 1934 expires 2022-09-30 and can be found here.

Rule 31 - FINRA

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

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