SEC Form R31

AAA

DEFINITION of 'SEC Form R31'

A SEC filing that must be made by national securities exchanges and national securities associations. Form R31 reports all sales and round turn transactions. It is used to determine fees due to the SEC for the sale of regulated securities and futures. The form must be filed within 10 business days at the end of every month and all fees due must be paid at least twice per year.

INVESTOPEDIA EXPLAINS 'SEC Form R31'

Form R31 is also known as the Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the Securities Exchange Act of 1934. The Securities Exchange Act of 1934 was enacted to protect the investing public. It sets forth requirements to the exchanges and broker-dealers including registration, disclosure, proxy solicitations, and margin and audit requirements.

RELATED TERMS
  1. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  2. Regulation A

    An exemption from the registration requirements mandated by the ...
  3. Annual Report

    1. An annual publication that public corporations must provide ...
  4. Investor Relations - IR

    A department, present in most medium to large public companies, ...
  5. Fiscal Year - FY

    A period that a company or government uses for accounting purposes ...
  6. Electronic Data Gathering, Analysis ...

    The electronic filing system created by the Securities and Exchange ...
RELATED FAQS
  1. No results found.
Related Articles
  1. Fundamental Analysis

    Financial Footnotes: Start Reading The Fine Print

    Find out what could be hidden in this often-overlooked part of the financial statements.
  2. Professionals

    Get A Job In Compliance

    If you're a stickler for rules, this could be a promising career path for you.
  3. Investing Basics

    The Flow Of Company Information

    Learn how to gather all the pieces before you start to put together your puzzle.
  4. Retirement

    A Brief History Of The Mutual Fund

    This popular investment vehicle has seen its share of ups and downs, successes and scandals. Read all about it!
  5. Investing Basics

    Policing The Securities Market: An Overview Of The SEC

    Find out how this regulatory body protects the rights of investors.
  6. Options & Futures

    Give Yourself More Options With Real Estate Options

    Real estate options have many benefits, including a smaller initial capital requirement.
  7. Economics

    Why Is Ukraine At War? A Russian Rivalry With West

    Huge power games which are being played behind the Ukrainian conflict are rooted in a previous revolution, a past Cold War, and an old Russia-West rivalry.
  8. Economics

    Does A Junk Rating Reflect Russia's Fundamentals?

    Moody’s, like other credit rating agencies, has downgraded Russia’s sovereign debt rating to non-investment grade, but does this reflect Russia's economy?
  9. Economics

    The Impact Of Ending The US Embargo On Cuba

    Many argue that ending the US embargo on Cuba will not only make US consumers happy, but also help the US economy and bring more freedoms to Cuba.
  10. Economics

    This Is A Small Country With Huge Potential to Grow

    Trinidad and Tobago's increased revenue and economic success have been primarily generated by its energy sector, but it still might be best to diversify.

You May Also Like

Hot Definitions
  1. Technical Skills

    1. The knowledge and abilities needed to accomplish mathematical, engineering, scientific or computer-related duties, as ...
  2. Prepaid Expense

    A type of asset that arises on a balance sheet as a result of business making payments for goods and services to be received ...
  3. Gordon Growth Model

    A model for determining the intrinsic value of a stock, based on a future series of dividends that grow at a constant rate. ...
  4. Cost Accounting

    A type of accounting process that aims to capture a company's costs of production by assessing the input costs of each step ...
  5. Law Of Supply

    A microeconomic law stating that, all other factors being equal, as the price of a good or service increases, the quantity ...
  6. Investment Grade

    A rating that indicates that a municipal or corporate bond has a relatively low risk of default. Bond rating firms, such ...
Trading Center