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Frequently Requested Documents
Broker-Dealer Electronic Recordkeeping
Broker-Dealer Registration
Broker-Dealer Registrations: FOIA Information
Special Reports
Registered Representatives
Section 31 Fees
- Basic Information for Firms
- Section 31 of the Securities Exchange Act of 1934
- Rule 31 under the Securities Exchange Act of 1934
- Rule 31T under the Securities Exchange Act of 1934
- Collection Practices under Section 31 of the Exchange Act
- Recent Fee Rate Advisories
- Fee Rate Advisory #6 for Fiscal Year 2012 (March 1, 2012)
- Fee Rate Advisory #5 for Fiscal Year 2012 (January 20, 2012)
- Fee Rate Advisory #4 for Fiscal Year 2012 (September 29, 2011)
- Fee Rate Advisory #3 for Fiscal Year 2012 (September 29, 2011)
- Fee Rate Advisory #2 for Fiscal Year 2012 (August 31, 2011)
- Fee Rate Advisory #1 for Fiscal Year 2012 (May 2, 2011)
- Fee Rate Advisory #5 for Fiscal Year 2011 (December 22, 2010)
- Fee Rate Advisory #4 for Fiscal Year 2011 (December 18, 2010)
- Fee Rate Advisory #3 for Fiscal Year 2011 (December 3, 2010)
- Fee Rate Advisory #2 for Fiscal Year 2011 (September 29, 2010)
- Fee Rate Advisory #1 for Fiscal Year 2011 (April 30, 2010)
- Fee Rate Advisories for FY10
- Fee Rate Advisories for FY09
- Fee Rate Advisories for FY08
- Fee Rate Advisories for FY07
- Fee Rate Advisories for FY06
- Fee Rate Advisories for FY05
http://www.sec.gov/divisions/marketreg/mrfreqreq.shtml
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