# 17 CFR § 249.11: Form R31 for reporting covered sales and covered round turn transactions under section 31 of the Act

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/ecfr-17-249.11

## Section

- **Citation:** 17 CFR § 249.11
- **Heading:** Form R31 for reporting covered sales and covered round turn transactions under section 31 of the Act
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** September 22, 2026
- **Source:** Publisher's official text
- **Location:** Title 17—Commodity and Securities Exchanges > CHAPTER II—SECURITIES AND EXCHANGE COMMISSION > PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934 > Subpart A—Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges

## Text

This form shall be used by each national securities exchange to report to the Commission within ten business days after the end of every month the aggregate dollar amount of sales of securities that occurred on the exchange, had a charge date in the month of the report, and are subject to fees pursuant to section 31(b) of the Act (15 U.S.C. 78ee) and § 240.31 of this chapter; and the total number of round turn transactions in security futures that occurred on the exchange, had a charge date in the month of the report, and are subject to assessments pursuant to section 31(d) of the Act and § 240.31 of this chapter. This form also shall be used by a national securities association to report to the Commission within ten business days after the end of every month the aggregate dollar amount of sales of securities that occurred by or through a member of the association otherwise than on a national securities exchange, had a charge date in the month of the report, and are subject to fees pursuant to section 31(c) of the Act and § 240.31 of this chapter; and the total number of round turn transactions in security futures that occurred by or through any member of the association otherwise than on a national securities exchange, had a charge date in the month of the report, and are subject to assessments pursuant to section 31(d) of the Act and § 240.31 of this chapter.
[69 FR 41080, July 7, 2004]
Editorial Note:For Federal Register citations affecting Form R31, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

## Nearby sections

- [17 CFR § 249.1 § 249.1 Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.1.md)
- [17 CFR § 249.10 § 249.10 Form 1-N for notice registration as a national securities exchange.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.10.md)
- [17 CFR § 249.11 § 249.11 Form R31 for reporting covered sales and covered round turn transactions under section 31 of the Act.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.11.md)
- [17 CFR § 249.25 § 249.25 Form 25, for notification of removal from listing and/or registration.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.25.md)
- [17 CFR § 249.26 § 249.26 Form 26, for notification of the admission to trading of a substituted or additional class of security under Rule 12a-5 (§ 240.12a-5 of this chapter).](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.26.md)
- [17 CFR § 249.103 § 249.103 Form 3, initial statement of beneficial ownership of securities.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.103.md)
- [17 CFR § 249.104 § 249.104 Form 4, statement of changes in beneficial ownership of securities.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.104.md)
- [17 CFR § 249.105 § 249.105 Form 5, annual statement of beneficial ownership of securities.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.105.md)
- [17 CFR § 249.208a § 249.208a Form 8-A, for registration of certain classes of securities pursuant to section 12 (b) or (g) of the Securities Exchange Act of 1934.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.208a.md)
- [17 CFR § 249.210 § 249.210 Form 10, general form for registration of securities pursuant to section 12(b) or (g) of the Securities Exchange Act of 1934.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.210.md)
- [17 CFR § 249.218 § 249.218 Form 18, for foreign governments and political subdivisions thereof.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.218.md)
- [17 CFR § 249.220f § 249.220f Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g), annual and transition reports pursuant to sections 13 and 15(d), and shell company reports required under Rule 13a-19 or 15d-19 (§ 240.13a-19 or § 240.15d-19 of this chapter).](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.220f.md)
- [17 CFR § 249.240f § 249.240f Form 40-F, for registration of securities of certain Canadian issuers pursuant to section 12(b) or (g) and for reports pursuant to section 15(d) and Rule 15d-4 (§ 240.15d-4 of this chapter).](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.240f.md)
- [17 CFR § 249.250 § 249.250 Form F-X, for appointment of agent for service of process by issuers registering securities on Form F-8, F-9, F-10 or F-80 (§ 239.38, 239.39, 239.40 or 239.41 of this chapter), or registering securities or filing periodic reports on Form 40-F (§ 249.240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F or 14D-9F (§ 240.13e-102, 240.14d-102 or 240.14d-103 of this chapter), or by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 249.37 of this chapter), F-8, F-9, F-10 or F-80.](https://www.frixlaw.com/law-library/statutes/ecfr-17-249.250.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/ecfr-17-249.11. Check the current official text before relying on it. Not legal advice.