OMB control number

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

OMB 3235-0597 · SEC.

OMB 3235-0597

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 is listed under ICR 202505-3235-001.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
Document	Type
Form SEC 2502 Form 31	Form and Instruction
Form SEC 2502 Rule 31 - FINRA	Form and Instruction
20250806_3235-0597_2025-14929_90 FR 37909_30-Day Submission Notice.pdf.pdf	Supplementary Document
20250806_3235-0597_2025-14929_90 FR 37909_30-Day Submission Notice.pdf.pdf	Supplementary Document
2025 05 08_90 FR 19586_3235-0597_60-Day Collection Notice.pdf	Supplementary Document
2025 05 08_90 FR 19586_3235-0597_60-Day Collection Notice.pdf	Supplementary Document
2025 Rule 31 Supporting Statement.pdf	Supporting Statement A
2025 Rule 31 Supporting Statement.pdf	Supporting Statement A
Rule 31 - FINRA	Form and Instruction
Rule 31 - FINRA	Form and Instruction
Rule 31 - New NSCC Only Exchange	Information collection
Rule 31 - New dual exchange	Information collection
Rule 31 - New OCC-only exchange	Information collection
Rule 31 - Dual exchanges	Information collection
Rule 31 - NSCC only exchanges	Information collection
Rule 31 - OCC only exchanges	Information collection
Rule 31 - OCC	Information collection
Rule 31 - NSCC	Information collection

All Historical Document Collections

Historical document collections
Reference	Filing	Received	Action
202505-3235-001	Extension without change of a currently approved collection	2025-08-07
202205-3235-031	Extension without change of a currently approved collection	2022-08-02	Approved without change
201903-3235-010	Extension without change of a currently approved collection	2019-08-06	Approved without change
201605-3235-011	Extension without change of a currently approved collection	2016-09-02	Approved without change
201305-3235-011	Extension without change of a currently approved collection	2013-08-26	Approved without change
201003-3235-007	Extension without change of a currently approved collection	2010-05-12	Approved without change
200704-3235-002	Revision of a currently approved collection	2007-06-09	Approved without change
200504-3235-004	No material or nonsubstantive change to a currently approved collection	2005-04-19	Approved without change
200407-3235-007	Revision of a currently approved collection	2004-07-01	Approved without change
200401-3235-011	New collection (Request for a new OMB Control Number)	2004-01-23	Approved without change

OMB Details

Rule 31 - FINRA

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Information collection instruments
Form	Name	Electronic access	Type
Form SEC 2502	Form 31	www.sec.gov/files/formr31.pdf	Form and instruction

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