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Legal Update

US Securities and Exchange Commission Decreases Filing Fees

8 September 2014
Mayer Brown Legal Update

The US Securities and Exchange Commission (SEC) announced a decrease in the filing fees to be paid by public companies and other issuers. Effective October 1, 2014, the first day of the SEC’s 2015 fiscal year, the filing fee rate will decrease to $116.20 per million from the current rate of $128.80 per million for:

  • The registration of securities under Section 6(b) of the Securities Act of 1933;
  • The repurchase of securities in going private transactions pursuant to Section 13(e) of the Securities Exchange Act of 1934;
  • Certain proxy solicitations and statements in corporate control transactions pursuant to Section 14(g) of the Exchange Act; and
  • The payment of fees in connection with the Annual Notice of Securities Sold Pursuant to Rule 24f-2 under the Investment Company Act of 1940.

This decrease in the filing fee rate should be considered when planning the timing of transactions and offerings as well as the filing of registration statements during the next several weeks.

New filing and transaction fee rates for the SEC’s 2016 fiscal year will be announced by August 31, 2015.

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