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

 

Fee Description
$30.25 per card Initial Submission
$13.00 per card Second Submission for a first fingerprint card submission that was deemed illegible by the FBI
$30.25 per card Third Submission

 

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

 

Last Updated: 9/16/2009