Refunds

FINRA will issue a partial refund of the filing fee, less any fees or costs owed by that party, if the party notifies FINRA that the case is settled or withdrawn more than 10 calendar days before a scheduled hearing. Any refunds will be paid directly to the named parties, even if a non-party made payment on behalf of the named parties.

 

FINRA will not issue a refund if a party notifies FINRA that a claim is settled or withdrawn within 10 calendar days of a scheduled hearing.

 

Customer Code Rule 12900(c) and Rule 12902(e)
Industry Code Rule 13900(c) and Rule 13902(e)

 

The FINRA Finance Department will answer all questions regarding refunds. Contact the FINRA Finance Department at (240) 386-5910, or by email.

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