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Fee Rate Advisory #4 for Fiscal Year 2016


Washington D.C., Feb. 25, 2016 —

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 2016 is not required.  These adjustments do not directly affect the amount of funding available to the SEC.

The Section 31 fee rate for fiscal 2016 will remain at the current rate of $21.80 per million, as previously announced on Jan. 7, 2016.  This rate will remain in place until Sept. 30, 2016, or 60 days after the enactment of a regular FY 2017 appropriation, whichever is later.  The Section 31 assessment on round turn transactions in security futures will remain at $0.0042 per transaction.

The Office of Interpretation and Guidance in the SEC’s Division of Trading and Markets is available for questions on Section 31 at (202) 551-5777, or by e-mail at

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


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