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.


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.

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