Determination of costs and levy obligation in the task area Securities Trading

(1) Within the task area Securities Trading, a separate determination of costs must be made by the following groups:
1. Group Investment Services Enterprises and Investment Managers: investment services enterprises within the meaning of section 2(10) of the Securities Trading Act, and institutions and undertakings to which section 2(8), seventh sentence of the Securities Trading Act applies,
2. Group Issuers: issuers with a domestic seat whose securities are admitted to trading on a domestic stock exchange or included in the open market,
3. Group Data Reporting Services Providers: operators of data reporting services with a licence or deemed licence to provide data reporting services under section 32(1f) of the Banking Act, insofar as they are supervised under the Securities Trading Act. The Federation and the Länder are not issuers within the meaning of the first sentence, no. 2. The costs of the task area Securities Trading that cannot be directly attributed to a group under the first sentence must be separately recorded. They are to be apportioned among the groups in the ratio existing between the costs directly attributable to the groups. Section 16b(4), first and third sentences applies accordingly. Section 16c applies accordingly, with the proviso that shortfalls, uncollected amounts and surpluses are to be taken into account by group only after the apportionment of costs under the first sentence.
(2) Liable to the levy for the task area Securities Trading is whoever belongs to the groups named in subsection (1). The levy obligation in the groups Investment Services Enterprises and Investment Managers, and Data Reporting Services Providers, exists from the grant or deemed grant of the licence to provide one or more investment services, from the grant of the licence to provide the investment-management service, or from the grant or deemed grant of the licence to provide data reporting services. It ends in the year the licence lapses. The levy obligation also exists where the conditions are not satisfied for the whole year. The levy obligation in the group of issuers extends to the levy years in which an issuer satisfies the conditions named in subsection (1), first sentence, no. 2.
(3) Shortfalls, uncollected amounts and surpluses of the levy statements for the years 2009 to 2012 in the groups of the task area Securities Trading named in section 6(2), first sentence, no. 3, letters (a) to (c) of the Ordinance on the Levying of Fees and the Apportionment of Costs under the Financial Services Supervision Act, in the version in force until 31 December 2012, are deemed, from the statement for levy year 2013, shortfalls, uncollected amounts and surpluses of the group Investment Services Enterprises and Investment Managers.