Registration/Exam Fee Schedule
General Registration Fees: | ||
Fee |
Description | |
$30.00 |
Annual Processing Fee | |
$80.00 |
Late Termination Fee | |
$95.00 1 |
Disclosure Processing Fee (U-4, U-5, & amendments) | |
$85.00 |
Registration Fee | |
$40.00 |
Termination Fee | |
1 For all registration, transfer, or termination filings with new or amended disclosure information or that require certification as well as any amendment to disclosure information. | ||
Membership Fee:
| ||
Fee |
Description | |
$5,000 |
Self-clearing broker-dealers | |
$3,000 |
All others | |
Fingerprint Processing Fees: | ||
Fee: |
Description | |
$30.25 per card |
Initial Submission | |
$13.00 per card |
Second Submission for a first fingerprint card submission that was determined by the FBI as being Illegible | |
$30.25 per card |
Third Submission | |
Qualification Examination Fees: | ||
Fee |
Exam |
Description |
$105.00 |
Series 3 |
National Commodities Futures |
$90.00 |
Series 4 |
Registered Options Principal |
$65.00 |
Series 5 |
Interest Rate Option |
$85.00 |
Series 6 |
Investment Co./Variable Contracts Rep |
$265.00 |
Series 7 |
General Securities Representative (includes NYSE development fee) |
$70.00 |
Series 9 |
General Securities Sales Supervisor (Options Module) |
$110.00 |
Series 10 |
General Securities Sales Supervisor (General Module) |
$70.00 |
Series 11 |
Assistant Representative - Order Processing |
$320.00 |
Series 14 |
Compliance Officer NYSE |
$210.00 |
Series 16 |
Supervisory Analyst NYSE (1 or 2 parts depending on NYSE requirements) |
$70.00 |
Series 17 |
Limited Registered Representative (IE) |
$85.00 |
Series 22 |
Direct Participation Programs Representative |
$85.00 |
Series 23 |
General Securities Principal Qualification Examination Sales Supervisor Module |
$105.00 |
Series 24 |
General Securities Principal |
$85.00 |
Series 26 |
Investment Co./Variable Contracts Principal |
$105.00 |
Series 27 |
Financial and Operations Principal |
$85.00 |
Series 28 |
Introducing Broker/Dealer Financial and Operations Principal |
$70.00 |
Series 30 |
Branch Managers Exam - Futures |
$70.00 |
Series 31 |
Futures Managed Funds Examination |
$70.00 |
Series 32 |
Limited Futures Exam-Regulation |
$160.00 |
Series 37 |
Canada Module of S7 (Options Required) |
$160.00 |
Series 38 |
Canada Module of S7 (No Options Required) |
$80.00 |
Series 39 |
Direct Participation Program Principal |
$65.00 |
Series 42 |
Registered Options Representative |
$85.00 |
Series 51 |
Municipal Fund Securities Principal |
$95.00 |
Series 52 |
Municipal Securities Representative |
$95.00 |
Series 53 |
Municipal Securities Principal |
$95.00 |
Series 55 |
Limited Representative-Equity Trader |
$80.00 |
Series 62 |
Corporate Securities Limited Representative |
$96.00 |
Series 63 |
Uniform Securities Agent State Law Exam |
$135.00 |
Series 65 |
Uniform Investment Advisor Exam |
$128.00 |
Series 66 |
Uniform Combined State Law Exam** (equivalent of S-63 plus S-65) |
$95.00 |
Series 72 |
Government Securities Representative |
$80.00 |
Series 82 |
Limited Representative-Private Securities Offerings |
$160.00 |
Series 86 |
Research Analyst (RS) – Part I--Analysis Module |
$115.00 |
Series 87 |
Research Analyst (RS) – Part II--Regulations Module |
