Refund Requests for Charges Assessed In Error
If a firm feels that FINRA has assessed a registration-related fee in error, the firm should:
- Call the FINRA Gateway Call Center at (301) 869-6699 to open up a Research Case, or
- Fax a letter to the Research Group at (301) 216-3716.
For either option, the firm should provide FINRA the following information:
- A printout of the firm's Daily Account or Renewal Account for verification purposes,
- The date and amount of the disputed charge,
- Firm CRD Number, and
- Individual CRD Number for whom the charge was assessed, if any.
FINRA will research the charge and refund the fee to the firm's CRD Daily Account if the charge was assessed in error.
