Form R31: Monthly Transaction Reporting for Self-Regulatory Organizations' Rule 31 Fees

Pursuant to Section 31 of the Securities Exchange Act of 1934 (“Exchange Act”) (15 U.S.C. 78ee), the Securities and Exchange Commission (“SEC”) is required to collect fees and assessments from national securities exchanges and national securities associations (collectively, “self-regulatory organizations” or “SROs”) based on the volume of their securities transactions. To collect the proper amounts, the SEC in 2004 adopted Rule 31 (17 CFR 240.31) and Form R31 (17 CFR 249.11) under the Exchange Act whereby each SRO must report to the SEC the volume of its securities transactions and the SEC, based on those data, calculates the amount of fees and assessments that each SRO owes pursuant to Section 31. Rule 31 and Form R31 require each SRO to provide these data on a monthly basis. Without this rule, the SEC would not be able to satisfy its obligations under Section 31.

The latest form for Form R31: Monthly Transaction Reporting for Self-Regulatory Organizations' Rule 31 Fees expires 2028-11-30 and can be found here.

Rule 31 - FINRA

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.