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.