Registration Fees

General Registration Fees

 

Fee	Description
$85.00	Registration Fee
$30.00	Annual Processing Fee
$95.001	Disclosure Processing Fee (U4, U5 & amendments)
$10.00 per day, $300 max	Late Disclosure Fee (fee calculation info)
$40.00	Termination Fee
$80.00	Late 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

 

The Membership Fee will be based on the conduct of business to be engaged in by the firm.

 

Fee	Description
$5,000	Self-clearing broker-dealers
$3,000	All others

 

Fingerprint Processing Fees

Effective 3/19/12

 

Fee	Description
$27.50 per card	Initial Submission
$13.00 per card	Second Submission for a first fingerprint card submission that was deemed illegible by the FBI
$27.50 per card	Third Submission

 

Qualification Examination Fees are listed on the FINRA Administered Qualification Examinations table.