SEC Fee Rate Adjustment for Section 6(b), Section (13e) and Section 14(g) to Be Effective December 27, 2010


Public companies and companies registering to go public should be aware of recent fee rate adjustments made by the Securities and Exchange Commission. The following fee rates will be affected by the adjustment:

The Section 6(b) fee rate applicable to the registration of securities; the Section 13(e) fee rate applicable to the repurchase of securities; and, the Section 14(g) fee rate applicable to proxy solicitations and statements in corporate control transactions.

How will the fee rates be adjusted?

The fee rate will increase from $71.30 per million dollars to $116.10 per million dollars. Note that the fee rate for Section 6(b) is also used to calculate fees payable with the Annual Notice of Securities Sold Pursuant to Rule 24f-2 under the Investment Company Act of 1940.

Companies that make any of the above filings as of December 27, 2010 will be subject to the increased fee rate.

Additionally, effective as of January 21, 2011, the Section 31 fee rate applicable to securities transactions on the exchanges and over-the-counter markets will be increased from $16.90 per million dollars to $19.20 per million dollars.

Please see full alert below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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