Regulatory Notice 12-32
Changes to Advertising, Corporate Financing, New Membership and Continuing Membership Application, Central Registration Depository and Branch Office Annual Registration Fees
Effective July 2, 2012, FINRA is increasing fees for (1) reviewing advertising material filed with FINRA and (2) filing offering documents pursuant to FINRA Rule 5110. Effective July 23, 2012, FINRA is increasing its new member application filing fee and imposing a new continuing membership application filing fee. Effective January 2, 2013, FINRA is changing fees relating to (1) the Central Registration Depository (CRD® or CRD system), including fees for initial/transfer registration, disclosure filing, system processing, fingerprint processing, mass transfer registration and late disclosure; and (2) branch office annual registration and related waiver process.
The text of the rule amendments effecting these fee changes is set forth in the following Attachments:
Attachment A — Rule amendments regarding advertising fees
Attachment B — Rule amendments regarding corporate financing fees
Attachment C — Rule amendments regarding fees related to CRD
Attachment D — Rule amendments regarding membership application process and branch office registration fees
Questions concerning this Notice should be directed to:
This Notice was updated on July 5, 2012, to correct a typographical error in the table of fees for Large, Tier 2 firms applying for a Material Change in Business.
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