SEC Securities Transaction Fee Rate As a result, the SEC indicates that each self-regulatory organization “will continue to pay the Commission a rate of $13.00 per million for covered sales occurring on charge dates through April 15, 2019, and a rate of $20.70 per million for covered sales occurring on charge dates on or after April 16, 2019. The current fee rate will continue to apply to filings of securities offerings made through September 30, 2019. As a reminder, the new law (Investor and Capital Markets Relief Act, with an effective date of December 28, 2001) provides for an annual adjustment of the fee rate and, in some circumstances, a mid-year adjustment. The Securities and Exchange Commission today announced that starting on July 4, 2017, the fee rates applicable to most securities transactions will be set at $23.10 per million dollars. If you are working with a fee-based investment advisor, your fees should be in the 1-1.5% range. As a result, the agency requested special legislative relief to permit the fee cuts to go forward. The Securities and Exchange Commission announced that starting on Feb. 18, 2020, the fee rates applicable to most securities transactions will be set at $22.10 per million dollars. Overview of SEC Fees. Congress agreed to the request, and on Feb. 15, 2007, President Bush signed House Joint Resolution 20, the continuing resolution for the remainder of FY 2007, which stated that it shall be deemed the Commission’s “regular appropriation” for FY 2007. View Text Version of Historical Treasury Rates *This is the difference between the longer maturity rate and the shorter one included in the comparison. You'll also find Fee Rate Advisories in the Press Releases section of our website. The SEC alleges that, from October 2012 to June 2017, the brokerage routed some trades to a third-party and charged certain Smith Barney customers the resulting fee. The Commission will issue further notices as appropriate to keep the public informed of developments relating to enactment of the Commission’s regular appropriation and the effective dates for the above fee rate changes. SEC Chairman Christopher Cox announced the move as he testified at a hearing of the House Financial Services Committee, outlining a number of initiatives taken during his nine-month tenure meant to enhance the disclosure of financial information, reduce the complexity of regulations and protect older people from investment scams. Please enable JavaScript on your browser to best view this site. http://www.sec.gov/cgi-bin/txt-srch-sec?text=”+Fee+Rate+Advisory+”+Fiscal+Year+2012§ion=Entire+Website&sort=rank, Selected Releases and Information Concerning Changes in the Section 31 Fee Rate, https://www.google.com/webhp?sourceid=navclient&ie=UTF-8&gws_rd=ssl#q=Fee+Rate+Advisory+%234+for+Fiscal+Year+2015, http://www.sec.gov/divisions/marketreg/mrfreqreq.shtml#feerate, https://www.sec.gov/divisions/marketreg/sec31info.htm, Member Alerts: for Fiscal Year 2019, the SEC Fee Rate Advisory #2 announced the Section 31 transaction fee rate applicable to securities transactions on the exchanges and over-the-counter markets will increase to $20.70 per million dollars effective Tuesday April 16, 2019. Questions about the new Section 6(b), Section 13(e), or Section 14(g) fee rates should be directed to the Filer Support Unit in the SEC’s Office of Filings and Information Services at (202) 551-8900. SEC Securities Transaction Fee Rate As a result, the SEC indicates that each self-regulatory organization “will continue to pay the Commission a rate of $13.00 per million for covered sales occurring on charge dates through April 15, 2019, and a rate of $20.70 per million for covered sales occurring on charge dates on or after April 16, 2019. The statutory target amount for fiscal year 2013 is $455 million. 0.0353 is the fee per contract in effect November 2013 For official Commission Orders concerning fee rate adjustments, please visit the Other … To simplify operations with a unified basis for fee calculation for transactions in non-Hong Kong dollar currencies, the Exchange will adopt the same exchange rates as for stamp duty calculation purpose for calculating Transaction Levy if applicable. Further, pursuant to Section 31, the Commission will determine no later than March 1, 2007 whether a mid-year adjustment to the Section 31 fee rate will be necessary. 1 s-par. 15. If the SEC adjusts the fee rate after the initial registration statement has been filed, the issuer must calculate the deferred filing fee using the updated fee rate. The fee is calculated by multiplying the aggregate offering amount by .0001091. The Securities and Exchange Commission, or SEC, is a regulatory agency that protects investors, enforces securities laws and oversees the stock market. 0.0400 is the fee per contract in effect February 2015 (semi-annual adjustment announced on Xxx XX, 201X – ) Commission make annual adjustments to the rates for fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), and 31 of the Securities Exchange Act of 1934. Associated Press WorldStream via NewsEdge Corporation : WASHINGTON_The Securities and Exchange Commission will reduce by $1 billion (€790 million) the fees it levies on securities transactions, a move that will be a boon to ordinary investors, the head of the agency told Congress on Wednesday. by Bats BZX in February 2015 and … 230.462(b)) submitted to the SEC before 10:00 p.m. EST, on Feb. 19, 2007, will be subject to the current fee rate of $107.00 per million dollars. The SEC yield is used to compare bond funds because it captures the effective rate of interest an investor may receive in the future. Select Action Currency Calculator Graphs Rates Table Monthly Average. Therefore, the United States Prime Rate remains at 3.25% The next FOMC meeting and decision on short-term interest rates will be on January 27, 2021. Prior … – 3 Brokerages & Daytrader issues, F. A. Q. 3 Early redemption fees may be charged by some mutual fund companies. The SEC makes annual adjustments to the rates for fees paid under Section 6(b) of the Securities Act and Sections 13(e) and 14(g) of the Exchange Act to generate collections equal to annual statutory target amounts. 0.0292 is the fee per contract in effect August 2012 (semi-annual adjustment announced on Xxx XX, 201X – ) 0.0140 is the fee per contract in effect January 2010 Effective 19 December 2005, the payment of Investor Compensation Levy (i.e. 0.0404 is the fee per contract in effect February 2016 (semi-annual adjustment announced on December 28, 2015 – Options Trader Alert #2015 – 37) by Winklevoss Bitcoin / International Securities Exchange / ISE Gemini in August 2013, Under Section 31 of the Securities Exchange Act of 1934, U.S. national securities exchanges are obligated to pay transaction fees to the SEC based on the volume of securities that are sold on their markets. 0.0407 is the fee per contract in effect August 2016 (semi-annual adjustment announced on July 1, 2016 – Options Trader Alert #2016 – 16) 78c(a)(55)(B) – i.e., are “broad-based security indexes”). Stock Sale (cost plus commission option), $0.0000218 * $25.87 * 1,000 = $0.563966, Sell 10 MSFT June ’11 $25 calls @ $1.17, $0.0000218 * $1.17 * 100 * 10 = $0.025506, $0.0000218 * $0.41 * 100 * 10 = $0.008938, Assignment of 10 MSFT June ’11 $25 calls, 1Information regarding current Section 31 fees may be found on the SEC's Frequently Requested Documents page located at: http://www.sec.gov/divisions/marketreg/mrfreqreq.shtml#feerate, http://www.sec.gov/divisions/marketreg/mrfreqreq.shtml#feerate, Expiration & Corporate Action Related Liquidations. SEC Chairman Cox Announces $700 Million Fee Cut to Benefit Investors 34-78746), 0.0169 is the fee per contract in effect May 6, 2018 As required by Section 31 of the Securities Exchange Act of 1934, the Commission must make a mid-year rate adjustment to the Section 31 transaction fee rate. The Section 31 fee rate applicable to securities transactions on the exchanges and Nasdaq are as follows: 0.0000333 is the rate in effect prior to December 28, 2001. by NASDAQ OMX BX in February 2016. by AMEX and ARCA in May 2011, Details of the Trading Activity Fee—including the securities it applies to, transactions that are exempt from the fee and the fee rates—are in Section 1 of Schedule A to FINRA’s By-Laws. These rates are set each year to levels the SEC projects will generate collections equal to annual … FOR IMMEDIATE RELEASE 2019-30 Washington D.C., March 12, 2019 — The Securities and Exchange Commission today announced that starting on April 16, 2019, the fee rates applicable to most securities transactions will be set at $20.70 per million dollars. On March 12, 2019, the Securities and Exchange Commission (SEC) announced that, on April 16, 2019, SEC fee rates applicable to most securities transactions will be … These notices will be posted at the SEC’s Internet web site at http://www.sec.gov. Service fees: Advisors may be paid by an hourly fee, a transaction fee or a portfolio fee (a percentage based on the value of your investments, which may include a minimum number of transactions—generally for larger portfolios). By law, the annual rate changes for fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities Exchange Act of 1934 must take effect on the first day of each fiscal year. Interest rates are subject to change at any time This SEC Fee is only applied to U.S. sell transactions. The SEC makes annual adjustments to the rates for fees paid under Section 6(b) of the Securities Act and Sections 13(e) and 14(g) of the Exchange Act to generate collections equal to annual statutory target amounts. The South Carolina Gamecocks have also had success, winning four straight SEC women's championships between 2015 and 2018, as well as a 2017 national title. 0.0427 is the fee per contract in effect August 2015 (semi-annual adjustment announced on Xxx XX, 201X – ) 78ee(j)). Starting in, The Office of Interpretation and Guidance in the Commission’s Division of Trading and Markets is available for questions on Section 31 fees at (202) 551-5777, or by e-mail at, The Commission is required to adjust the filing and securities transaction fee rates on an annual basis, after consultation with the Congressional Budget Office (CBO) and the Office of Management and Budget (OMB). averageYear Historic … The SEC is required to publish a revised fee rate 30 days after enactment of the new fiscal year appropriation and the new rate takes effect 60 days after the appropriation is enacted. On August 23, the SEC announced that it was raising the fees it charges issuers to register their securities. In fiscal 2019, the fee rates for registration of securities and certain other transactions will be $121.20 per million dollars, down from $124.50 per million dollars last year. SEC Increases Filing Fee Rateby PLC Corporate & Securities Related Content Published on 17 Dec 2009 • USA (National/Federal)An update on the increase of SEC filing and registration fees. A copy of the Commission’s April 30, 2007, order regarding fee rates for fiscal year 2008 is available at, The Commission will issue further notices as appropriate to keep the public informed of developments relating to enactment of the Commission’s regular appropriation and the effective dates for the above fee rate changes. Update: The fee was initiated by the CBOE in early 2009, In fiscal 2020, the fee rates for registration of securities and certain other transactions will be $129.80 per million dollars, up from $121.20 per million dollars last year. In fiscal 2020, the fee rates for registration of securities and certain other transactions will be $129.80 per million dollars, up from $121.20 per million dollars last year. – 5 Trader Status & IRS Tax issues, https://www.sec.gov/fast-answers/divisionsmarketregmrexchangesshtml.html#section31, Guide to Exchange Collection Scenarios and Rates, https://markets.cboe.com/us/options/notices/fee_schedule/, http://www.sec.gov/rules/other/2007/33-8794.pdf, http://www.sec.gov/rules/final/34-45371.htm, http://www.sec.gov/cgi-bin/txt-srch-sec?text=”+Fee+Rate+Advisory+”+Fiscal+Year+2012§ion=Entire+Website&sort=rank, http://www.nasd.com/web/idcplg?IdcService=SS_GET_PAGE&nodeId=1193, http://www.federalreserve.gov/boarddocs/legalint/MarginRequirements/2000/20000106/, http://www.twenty-first.com/exchange-traded_index_options.htm. Under the Investor and Capital Markets Fee Relief Act, the SEC makes annual adjustments to the rates paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), and 31 of the Securities Act of 1934. by CBOE C2in August 2012, 0.0377 is the fee per contract in effect January 2013 0.0312 is the fee per contract in effect November 2012 Note: The charges on the gross sales of most securities transactions are known as Section 31 “fees.”  But there can be different per transaction charges imposed by Section 31 on transactions in security futures which are termed “assessments.” The assessment on security futures transactions under Section 31(d) has been $0.0042 for each round turn transaction. The Commission will announce the new fee rates for fiscal year 2009 no later than April 30, 2008. **Although the gift tax rate schedule for the year 2010 (Code Sec. More than 400. SEC increases fee rates for fiscal 2020, which begins October 1, 2019. http://www.sec.gov/news/press/2007/2007-24.htm, The Office of Interpretation and Guidance in the Commission’s Division of Trading and Markets is available for questions on Section 31 fees at (202) 551-5777, or by e-mail at [email protected], The Commission is required to adjust the filing and securities transaction fee rates on an annual basis, after consultation with the Congressional Budget Office (CBO) and the Office of Management and Budget (OMB). Additional information on the Section 31 fee rate will be available on the Internet websites of the New York Stock Exchange and the NASD at http://www.nyse.com and http://www.nasd.com, respectively. (13) Narrow-based security index means the same as in section 3(a)(55)(B) and (C) of the Act (15 U.S.C. A loan processing fee of up to 1.00% may also apply. Options Regulatory Fees (ORF) which are an exchange fee which Options Clearing Corporation (OCC) collects from its clearing members to offset exchange costs relating to the supervision and regulation of the options market, are as follows: In 2011 a new transaction-based fee generally was being passed on to all retail customers (some brokerages were passing the ORF to customers as early as 2009). 2390 (2002)) which, among other things, amends Section 31 to provide that “options on securities indexes (excluding a narrow-based security index)” are exempt from the fee requirements of Section 31. The fee rate may also change on a mid-year basis (typically as of April 1), in accordance with certain provisions set forth in Section 31. The Investor and Capital Markets Fee Relief Act requires that the Commission make annual adjustments to the rates for fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e), 14(g), and 31 of the Securities Exchange Act of 1934. SEC Online: Statements of Results & Examination Certificates: Tips On Using This Site: Service/Contact Directory: State Examinations Commission, Cornamaddy, Athlone, Co. Westmeath, N37 TP65. 0.0257 is the fee per contract in effect June 2012 The annual adjustment to the fee rate under Section 6(b) also sets the annual adjustment to the fee rates under Sections 13(e) and 14(g). The Commission will announce the new fee rates for FY 2008 no later than April 30, 2007. Under Section 31 of the Securities Exchange Act of 1934, U.S. national securities exchanges are obligated to pay transaction fees to the SEC based on the volume of securities that are sold on their markets. The SEC sets registration and transaction fees according to the Investor and Capital Markets Fee Relief Act. Washington, D.C., Feb. 16, 2007 – Securities and Exchange Commission Chairman Christopher Cox announced today that, starting next week, the agency will sharply cut the fees charged to public companies and other issuers for securities transactions and registrations. 0.0401 is the fee per contract in effect April 2014 Examples of the transactions impacted by this fee and sample calculations are outlined in the table below. As of May 22, 2018, the fee rates applicable to most securities transactions will be set at $13.00 per million dollars. (see update below). USD Historical Exchange Rates (US Dollar) - X-Rates On August 23, 2019, the Securities and Exchange Commission (SEC) announced that, effective October 1, 2019, the fees that public companies pay to register their securities with the SEC will be raised from the current rate of $121.20 per million to the new fee rate of $129.80 per million. This fee is intended to allow the SEC to recover costs associated with its supervision and regulation of the U.S. securities markets and securities professionals. 25. That office may be reached by phone at 202-551-5777 or by email at [email protected] For the fiscal year 2016 the fee was assessed at a rate of $0.0000218 per $1.00 of sales proceeds, however, the rate is subject to annual and,in some cases, mid-year adjustments should realized transaction volume generate fees sufficiently below or in excess of targeted funding levels.1. by NASDAQ Options Market (NOM) in January 2012, http://www.twenty-first.com/exchange-traded_index_options.htm, is the rate still effective as of October 1, 2006, was the potential rate effective October 1, 2008, is the rate still effective as of October 1, 2008, (annual adjustment must be announced no later than April 30, 2008), was the potential rate effective October 1, 2011, is the rate still effective as of October 1, 2012, (mid-year adjustment not required but no announcement regarding this was issued), is the rate still effective as of October 1, 2013, is the rate still effective as of October 1, 2014, is the rate still effective as of October 1, 2015, is the rate still effective as of October 1, 2016, is the rate still effective as of October 1, 2017, is the rate still effective as of October 1, 2018, is the rate still effective as of October 1, 2019. Under this new rate, the fees applicable to most securities transactions will be set at $20.70 per million shares. 78ee(b) or (c)), as adjusted from time to time by the Commission pursuant to section 31(j) of the Act (15 U.S.C. 10. How to potentially identify §1256 transactions: Section 31 fees no longer apply to sales of options on securities indexes (other than narrow-based security indexes). Early repayment adjustment and administrative fee on fixed rate loans. On August 31, 2012, the SEC issued a press release announcing a new fee rate advisory for fiscal year 2013. SEC lowers fee rates for fiscal 2019, which begins October 1, 2018. Washington D.C., Jan. 9, 2020 —. With the exception of CIBC funds, which have a minimum investment of $500 , * there is a $1,000 minimum investment for all mutual fund orders (unless a higher minimum is set by the mutual fund company). 0.0000150 is the rate effective December 28, 2001 (annual adjustment was announced on December 21, 2001 & … In addition, effective March 17, 2007, the Section 31 fee rate applicable to securities transactions on the exchanges and over-the-counter markets will decrease to $15.30 per million dollars. 8) $99.50 Reinstatement of the registration of a representative of an exempt market dealer, a representative of a restricted dealer or a representative of an adviser (sec. 0.0387 is the fee per contract in effect August 2013 (semi-annual adjustment missed, new rate announced on May 14, 2013 – SEC Release No. Consequently, each SRO will continue to pay the Commission a rate of $20.70 per million for covered sales occurring on charge dates through Feb. 17, 2020, and a rate of $22.10 per million … 34-65913) Configure Converter . The SEC issued a new fee rate advisory for fiscal year 2014. The SEC has announced that the fee for registration of securities and certain other transactions in fiscal 2016 will be $100.70 per million dollars… 400. Accordingly, each SRO will continue to pay the SEC a rate $13.00 per million for covered sales occurring on charge dates through April 15, 2019. Click Here to Jump to The Top of This Document The fee rate may change annually as part of the Commission’s budget appropriation for a given fiscal year. 34-71225) Overview This notice is being issued to inform you that in . 0.0382 is the fee per contract in effect August 2014 (semi-annual adjustment announced on Xxx XX, 201X – ) A copy of the Commission’s April 30, 2007, order regarding fee rates for fiscal year 2008 is available at http://www.sec.gov/rules/other/2007/33-8794.pdf. for the Fed Funds Rate) December 16, 2020: The FOMC has voted to leave the target range for the fed funds rate at 0% - 0.25%. In typical gov’t bureaucracy-speak the SEC wants you to be informed that: “The SEC does not impose or set any of the brokerage fees that investors must pay. 0.0164 is the fee per contract in effect August 1, 2019, Securities Industry and Financial Markets Association (SIFMA)  Guide to Exchange Collection Scenarios and Rates, CBOE Options Exchange Fee Schedule Notices: https://markets.cboe.com/us/options/notices/fee_schedule/, Important Clarification from our gummint: The annual adjustment to the fee rate under Section 6(b) also sets the annual adjustment to the fee rates under Sections 13(e) and 14(g). Investor Compensation Levy. The annual adjustment to the fee rate under Section 6(b) also sets the annual adjustment to the fee rates under Sections 13(e) and 14(g). The Section 31 fee rate applicable to securities transactions on the exchanges and Nasdaq are as follows: 0.0000333 is the rate in effect prior to December 28, 2001, 0.0000150 is the rate effective December 28, 2001 (annual adjustment was announced on December 21, 2001 & January 16, 2002), 0.0000301 is the rate effective April 1, 2002 (mid-year adjustment was announced on March 1, 2002), 0.0000252 is the rate effective March 22, 2003 (annual adjustment was announced on April 29, 2002 & September 17, 2002  & September 30, 2002 & October 4, 2002 & October 11, 2002 & October 18, 2002 & November 22, 2002 & January 10, 2003 & January 31, 2003 & February 7, 2003 & February 21, 2003), 0.0000468 is the rate effective April 1, 2003 (mid-year adjustment was announced on February 28, 2003 – Fee Rate Advisory #12 for Fiscal Year 2003), 0.0000390 is the rate effective February 22, 2004 (annual adjustment was announced on April 30, 2003 & September 15, 2003  & September 30, 2003 & October 31, 2003 & November 7, 2003 & November 24, 2003 & January 26, 2004), 0.0000234 is the rate effective April 1, 2004 (mid-year adjustment was announced on February 27, 2004 – Fee Rate Advisory #8 for Fiscal Year 2004), 0.0000329 is the rate effective January 7, 2005 (annual adjustment was announced on October 1, 2004 & September 27, 2004  & September 30, 2004 & November 22, 2004 & November 29, 2004 & December 9, 2004), 0.0000418 is the rate effective April 1, 2005 (mid-year adjustment was announced on March 1, 2005 – FEE RATE ADVISORY #7 FOR FISCAL YEAR 2005), 0.0000307 is the rate effective December 22, 2005 (annual adjustment was announced on April 29, 2005 & September 27, 2005  & September 30, 2005 & November 18, 2005 & November 23, 2005), 0.0000307 is the rate effective April 1, 2006  (mid-year adjustment not required as announced on March 1, 2006 – Fee Rate Advisory #6 for Fiscal Year 2006), 0.0000307 is the rate still effective as of October 1, 2006 (annual adjustment was announced on September 26, 2006 & September 29, 2006 & November 17, 2006 & December 8, 2006 & February 15, 2007, also see 5/4/06 & 2/16/2007 news stories below), 0.0000153 is the rate effective March 17, 2007 (as announced on March 1, 2007, also see 2/16/2007 news release below), 0.0000153 is the rate effective April 1, 2007 (mid-year adjustment not required as announced on March 1, 2007 – Fee Rate Advisory #8 for Fiscal Year 2007), 0.0000110 is the rate effective January 25, 2008 (annual adjustment was announced on May 7, 2007 & September 28, 2007 & November 15, 2007 & December 14, 2007 & December 21, 2007 & December 27, 2007), 0.0000056 is the rate effective April 1, 2008 (optional mid-year adjustment was announced on February 29, 2008 – Fee Rate Advisory #7 for Fiscal Year 2008), 0.0000930 was the potential rate effective October 1, 2008 (or later) (proposed annual adjustment was announced on April 30, 2008) & September 29, 2008 /and then canceled, 0.0000056 is the rate still effective as of October 1, 2008 (annual adjustment must be announced no later than April 30, 2008), 0.0000257 is the rate effective April 10, 2009 (mid-year adjustment was announced too late on March 4, 2009 was due March 1, 2009) & March 6, 2009  & March 11, 2009), 0.0000127 is the rate effective January 15, 2010 (annual adjustment was announced on April 30, 2009 & September 28, 2009 & October 30, 2009 & December 17, 2009), 0.0000169 is the rate effective April 1, 2010 (optional mid-year adjustment was announced on March 1, 2010 – Fee Rate Advisory #5 for Fiscal Year 2010), 0.0000192 is the rate effective January 21, 2011 (annual adjustment was announced on April 30, 2010 & September 29, 2010 & December 3, 2010 & December 18, 2010 & December 22, 2010), 0.0000192 is the rate effective April 1, 2011 (mid-year adjustment not required as announced on March 2, 2011 – Fee Rate Advisory #6 for Fiscal Year 2011), 0.0000151 was the potential rate effective October 1, 2011 (or later) (proposed annual adjustment was announced on May 2, 2011) /and then canceled, 0.0000180 is the rate effective February 21, 2012 (annual adjustment was announced on January 20, 2012 – Fee Rate Advisory #5 for Fiscal Year 2012), 0.0000224 is the rate effective April 1, 2012 (optional mid-year adjustment was announced on March 1, 2012 – Fee Rate Advisory #6 for Fiscal Year 2012), 0.0000224 is the rate still effective as of October 1, 2012 (annual adjustment was not made, as announced on November 15, 2012 – Fee Rate Advisory #2 for Fiscal Year 2013), 0.0000224 is the rate still effective as of April 1, 2013 (mid-year adjustment not required but no announcement regarding this was issued), 0.0000174 is the rate effective May 25, 2013 (annual adjustment was announced on April 25, 2013 – Fee Rate Advisory #3 for Fiscal Year 2013), 0.0000174 is the rate still effective as of October 1, 2013 (annual adjustment was not yet made, as announced on October 31, 2013 – Fee Rate Advisory #2 For Fiscal Year 2014), 0.0000221 is the rate effective March 18, 2014 (annual adjustment was announced on February 12, 2014 – Fee Rate Advisory #3 for Fiscal Year 2014), 0.0000221 is the rate effective April 1, 2014 (mid-year adjustment not required as announced on February 28, 2014 – Fee Rate Advisory #4 for Fiscal Year 2014), 0.0000221 is the rate still effective as of October 1, 2014 (annual adjustment was not yet made, as announced on September 30, 2014 – Fee Rate Advisory #2 For Fiscal Year 2015), 0.0000184 is the rate effective February 14, 2015 (annual adjustment was announced on January 15, 2015 – Fee Rate Advisory #3 for Fiscal Year 2015), 0.0000184 is the rate effective April 1, 2015 (mid-year adjustment not required as announced on February 27, 2015 – Fee Rate Advisory #4 for Fiscal Year 2015), 0.0000184 is the rate still effective as of October 1, 2015 (annual adjustment was not yet made, as announced on September 30, 2015 – Fee Rate Advisory #2 For Fiscal Year 2016), 0.0000218 is the rate effective February 16, 2016 (annual adjustment was announced on January 7, 2016 – Fee Rate Advisory #3 for Fiscal Year 2016), 0.0000218 is the rate effective April 1, 2016 (mid-year adjustment not required as announced on February 25, 2016 – Fee Rate Advisory #4 for Fiscal Year 2016), 0.0000218 is the rate still effective as of October 1, 2016 (annual adjustment was not yet made, as announced on September 30, 2016 – Fee Rate Advisory #2 For Fiscal Year 2017), Effective September 5, 2017 the T+3 standard settlement cycle for most broker-dealer securities transactions (the time between the trade date and the settlement date) will shorten from three business days to two days (T+2)  (as announced on March 22, 2017 – SEC Adopts T+2 Settlement Cycle for Securities Transactions), 0.0000231 is the rate effective July 4, 2017 (mid-year adjustment as announced on May 31, 2017 – Fee Rate Advisory #3 for Fiscal Year 2017), 0.0000231 is the rate still effective as of October 1, 2017 (annual adjustment was not yet made, as announced on September 29, 2017 – Fee Rate Advisory #2 For Fiscal Year 2018), 0.0000130 is the rate effective May 22, 2018 (mid-year adjustment as announced on April 17, 2018 – Fee Rate Advisory #3 for Fiscal Year 2018), 0.0000130 is the rate still effective as of October 1, 2018 (annual adjustment was not yet made), 0.0000207 is the rate effective April 16, 2019 (mid-year adjustment as announced on March 12, 2019 – Fee Rate Advisory #2 for Fiscal Year 2019), 0.0000207 is the rate still effective as of October 1, 2019 (annual adjustment was not yet made), 0.0000221 is the rate effective February 18, 2020 (mid-year adjustment as announced on March 12, 2019 – Fee Rate Advisory #2 for Fiscal Year 2020), xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx, 0.0000xxx is the rate effective April 1, 201X (optional mid-year adjustment must be announced no later than March 1, 201X), 0.0000xxx is the rate effective January X, 201X (annual adjustment was announced on xxx 1, 201X). 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Year 2017 for IMMEDIATE release 2016-175 Washington D.C., Aug. 31, 2012, the annual rate changes take. ’ re much more, you better be getting exemplary service first Day of each dollar statutory! Early repayment adjustment and administrative fee on fixed rate loans informed of developments relating to Section 31 05/04/06... Registered ( amount being registered ( amount being registered ) and the real ” said SEC Chairman Cox... Fees were charged to retail customer orders at the SEC announced a second fee rate is to! And Monthly Average rates in various currencies 12 which will take effect on the first Day each... To apply to filings of securities offerings made through September 30, 2008 fee may from...
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