Yesterday afternoon the SEC announced the fee rates for fiscal year 2009. For §6(b) registration, §13(e) repurchasing, and §14(g) corporate control transaction fees, the rate will increase to $55.80 per million. The rate change will be effective on Oct. 1, 2008, or 5 days after the Commission receives its FY 2009 regular appropriation, whichever date comes later.

 

§31 fees related to transactions on U.S. exchanges and over-the-counter markets will decrease from $11.00 per million to $9.30 per million. This will be effective on Oct. 1, 2008, or 30 days after the Commission receives its FY 2009 regular appropriation, whichever date comes later.

 

In addition, the assessment on security futures transactions under §31(d) will remain at $0.0042 for each round turn transaction.

 

AFPI will continue to keep you informed as the Commission releases updates on the 2009 fee rate.

 

To read the press release, please visit http://www.sec.gov/news/press/2008/2008-70.htm.

Reference Materials

Compliance Update Links