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Fee Rate Advisory #4 for Fiscal Year 2014


Washington D.C., Feb. 28, 2014 —

Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to the Section 31 fee rate for fiscal year 2014 is not required.

The Section 31 fee rate for fiscal 2014 will remain at the current rate of $17.40 per million through March 17, 2014, and as previously announced, the rate will change to $22.10 per million starting March 18, 2014.  This rate will remain in place until September 30, 2014 or 60 days after the enactment of a regular FY 2015 appropriation, whichever is later.  The Section 31 assessment on round turn transactions in security futures also will remain at $0.0042 per transaction.

The Commission will issue further notices as appropriate to keep the public informed of developments relating to fees under Section 31.  These notices will be posted at the Commission's Internet Website at


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