Important Information About Advertising Filing Fees

You now have several payment options with respect to the Advertising Regulation filing fees charged in accordance with Section 13, Schedule A of NASD By-Laws. You can use any of these options to establish an Advertising Filing Fee Account.

 

A. CRD Account Payment Transfer

 

You may have us deduct filing fees from your existing CRD account by providing us with written authorization. Please fax or mail your written authorization to Suprina Hicks. Fax #: (240) 386-4568

 

B. Credit Card Payment

 

We accept credit cards for payment of your filing fees (VISA, Master Card or American Express). To request a credit card form, please contact Suprina Hicks at (240) 386-4537.

 

C. Check Payment

 

Effective June 15, 2001, FINRA Advertising Regulation Department will be changing the address for check remittances. All checks must be sent to the new P.O. Box address provided below. Please use the P.O. Box address except in cases when you must use courier or overnight delivery. Please note the alternative address provided for these situations, as the P.O. Box address will not accept courier or overnight deliveries. We encourage the use of the P.O. Box address as it facilitates more timely automated processing of your remittance.

 

Please send filing fee CHECKS to:

FINRA
Advertising Regulation
P.O. Box 7777-W9075
Philadelphia, PA 19175-9075

 

For courier/overnight CHECKS only:

FINRA
Advertising Regulation
W9075
c/o Mellon Bank, Room 3490
701 Market Street
Philadelphia, PA 19106

 

(Note: P.O. Box does not accept overnight/courier deliveries)

 

Please continue to submit all correspondence, sales literature and advertisements for review to:

 

FINRA
Advertising Regulation
9509 Key West Avenue, 5th Floor
Rockville, MD 20850-3389

Regardless of the method of payment, we will continue to provide monthly Filing Fee Statements. If you have any questions regarding this letter, please contact Suprina Hicks at (240) 386-4537. Thank you for your cooperation in this matter.

 

Sincerely,

 

Thomas A. Pappas
Vice President and Director

Advertising Regulation Department