FINRA Application Fees

 

Broker/Dealer Membership Application:

FINRA implemented new member application filing fees and a new continuing membership application filing fee on July 23, 2012. Please review Regulatory Notice 12-32, and Section A, Schedule 4 of the By-Laws for the new member application and continuing membership application filing fees.

Principal/Representative Registration Application$85 per Applicant
Disclosure Processing Fee$95
Fingerprint Card Processing Fee$30.25 per card
Branch Office Application$75 per branch office
Termination Fee (Form U5)$40
Late Termination Fee$80

 

Please refer to the FINRA Administered Qualifications Examinations Web page for information on examination fees.