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E-Bill Frequently Asked Questions (FAQ)
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- What is E-Bill and what can I do in E-Bill?
- E-Bill is FINRA's financial system that enables entitled users to view accounting details of FINRA Flex-Funding and Renewals, fund the accounts, pay annual renewal assessments and view and pay FINRA invoices.
- What are the browser requirements for using E-Bill?
- Internet Explorer 9.x and above
- Firefox 45 and above
- Chrome 49 and above
- Safari 9.x and above
- Who do I contact if I have questions about E-Bill?
- For questions related to the E-Bill system contact the FINRA Call Center at (301) 590-6500.
- What are some of the new features implemented in E-Bill?
- The system now displays full accounting details of FINRA Flex-Funding and Renewals, including Pending Total, which includes intra-day and pending activity from Web CRD/IARD and E-Bill.
- E-Bill recently implemented a change that displays the sufficient balance as a positive number and deficient balance as a negative number.
- Several enhancements have been added to Account Details:
- Users can choose a custom date range to view Account Details. Choose from pre-set intervals, or a custom date range that can extend beyond a 30 day period.
- Account details can be exported into one .csv file.
- Filters have been added, allowing for customized views within the Activity and Fee tabs. Click on the filter icon to display filter options.
- Fee Transactions per day are listed in one row, labeled Fee Transactions, with the number of transactions listed in parenthesis.
- Where do I access E-Bill?
- E-Bill can be accessed via Firm Gateway at: https://firms.finra.org/ebill/
- How do I get started using E-Bill?
- Your firm's Super Account Administrator (SAA) must grant you appropriate entitlements in the User Administration section of Firm Gateway. If you do not know who your firm's SAA is, please contact the FINRA Call Center at (301) 590-6500.
- What entitlements are needed for E-Bill tasks?
- E-Bill entitlements are required to access E-Bill.
- Read-Only FINRA Flex-Funding Account entitlement allows users to view transaction details of the firm's FINRA Flex-Funding Account and associated Flex-Funding Alerts.
- FINRA Flex-Funding Account entitlement allows users to add funds to the firm's FINRA Flex-Funding Account, pay registration-related fees, request refunds from a FINRA Flex-funding account, view transaction details of a FINRA Flex-Funding Account and associated Flex-Funding Alerts.
- Reallocation entitlement allows users to pay outstanding renewal assessments and FINRA invoices by using funds from the firm's FINRA Flex-Funding account. They can also transfer funds to a FINRA Flex-Funding Account(s) of affiliate firm(s).
- Read-Only Renewal entitlement allows users to view transaction details of the firm's Renewal and associated Renewal Alerts.
- Renewal entitlement allows users with this privilege to pay outstanding renewal assessments, view transaction details of a Renewal and associated Renewal Alerts.
- Invoices entitlement allows users with this privilege to view and pay outstanding Invoices.
FINRA Flex-Funding Account
- What payment methods are available in E-Bill for funding the FINRA Flex-Funding Account?
- FINRA Flex-Funding Account can be funded by an ACH payment method or an Affiliate Firm Transfer.
- What payment methods are available in E-Bill for funding the Renewal?
- Renewal can be funded by reallocating funds from the FINRA Flex-Funding Account or by ACH payment method.
- What steps can a firm take to ensure prompt deposit of funds into its Flex-Funding account?
- To ensure timely and accurate processing of deposits, please read the instructions provided on the Web CRD Payment Methods & Addresses page for the payment method you choose.
- How do I determine the amount needed to clear my firm's "Deficient" account status?
- Estimated balance will reflect the amount by which your account is currently deficient. Please note that this balance does not reflect check and wire deposits that were initiated outside of E-Bill.
- My firm's account is showing a deficient balance. Will the registration request I submit still be accepted?
- Yes, your firm will still be able to submit the form filing in Web CRD; however, a deficient account status will prevent a registration request from being approved or an exam window from opening.
- Where can I find a detailed monthly accounting report?
- There are two options:
- Click FINRA Flex-Funding Account Details
- Click the FEES tab
- Click the drop down in the "Activity for" section and select "Last Month" or "Custom Date Range"
- Click Export, and the account details will export into a csv file.
Firms can request the Account Activity Report from the available reports in Web CRD and retrieve financial activity for up to the previous 13 months. This information is available as a report or a download. For additional information on Reports available through Web CRD, refer to the Reports Quick Reference Guide or the instructions on How to Download a Report page.
- How can I find specific charges related to an individual associated with my firm?
- To find specific charges related to an individual, entitled users can:
- Click the "FEES" tab.
- Select a date range (by default last 30 days are shown).
- Click the "Show Filter" link or the filter icon.
- Filter for a specific transaction by CRD number or other filter criteria.
- Click the Apply All button.
- I work for a joint broker-dealer/investment adviser (BD/IA) firm. Do we have separate Flex-Funding accounts for registration requests?
- No. A joint BD/IA firm has one shared registration account and the system deducts transactions for BD and IA registration requests from that one account. Transactions through Web CRD or IARD can be easily identified in the Activity Details and Fees tabs. Funds deposited to the shared Flex-Funding Account will be available for all filings made.
- How are fees processed for Simultaneous Filing Group firms (applicable only to joint BD/IA firms)?
- The primary Simultaneous Filing Group (SFG) firm pays all FINRA fees, regardless of which SFG firm submits the filing. These fees include FINRA registration fees, exam fees, and fingerprint processing fees (if applicable). Each firm pays their own state registration fees and other non-FINRA fees.
- How are fees processed for affiliated firms (firms not a part of a Simultaneous Filing Group)?
- Each firm pays its own fees. The exception is that only the filing firm pays fees related to exams and fingerprints (if applicable).
- For a new individual requesting an RA registration, does the System Processing Fee (Initial Set-up Fee) apply when filing the Initial Form U4?
- Yes. An Initial Set-up Fee is charged for an individual when an Initial Form U4 is processed.
- What is reallocation?
- The Reallocation payment method allows users to pay open invoices and Renewal Statement charges using the funds already available in their firm's FINRA Flex-Funding Account. Other transactions initiated during the day will be processed prior to any reallocation requests made that same day. If your FINRA Flex-Funding Account balance is not sufficient to cover the reallocation submitted once all other transactions have been processed, the reallocation will not be processed.*
*Reallocation entitlement is required in order to use reallocation as a payment method.
- How are reallocation payments reflected in E-Bill Account Details?
- Reallocations initiated inside E-Bill will display in Flex-Funding and Renewal Details as a transfer type labeled EBILL REALLOCATION.
- How long does a reallocation payment take to process?
- Reallocation requests are processed nightly and will be reflected in E-Bill the following day.
- I have the required entitlement to see the FINRA Renewal in E-Bill I am unable to see the Renewal on the Open Invoices/Accounts page?
- On the overview page the FINRA Renewal section will only display during the annual Renewal Period. This section will display once the Preliminary Renewal Statement is generated. You would be able to make a payment to your renewal during the renewal period or if your firm has an amount due. You would be able to access Renewal History year long.
- How do I view my Renewal Statement in E-Bill?
- Latest Renewal statements are now available on E-Bill.
- What payment methods are available in E-Bill for funding the FINRA Renewal?
- The FINRA Renewal can be funded by ACH or by reallocating funds from your firm's FINRA Flex-Funding Account.
- Can I make partial payments towards my Renewal Statement Charges?
- Partial payments can be made for both the Preliminary and Final Renewal Statements. However, payment in full is required by the due date.
- Can I pay more than the amount owed on my Preliminary Renewal Statement?
- You have the option to make a payment greater than the amount owed on the Preliminary Renewal Statement. This option is available in the event you expect additional charges to be assessed when the Final Renewal Statement is generated. Once the Final Renewal Statement is generated, if you still have an outstanding balance, the payment amount cannot exceed the amount owed.
- How will the credit from my Final Renewal Statement be refunded to my firm?
- Credits, if any, will be adjusted to the FINRA Flex-Funding Account. Firms can use the funds for other FINRA activities, or request a refund.
- What payment methods can I use to pay invoices?
- Invoice payments can be made by credit card, ACH, or by reallocating funds from your firm's FINRA Flex-Funding Account in E-Bill.
Invoice payments can also be made by sending a check or wire transfer. Remember to include your invoice number and customer number with the payment. View making payments to FINRA by check for more details.
- What major credit cards accepted?
- E-Bill accepts the following credit cards: Visa, MasterCard, American Express, and Discover.
- I selected to pay an invoice and fund the FINRA Flex-Funding Account, how come I do not see the pay by credit card option?
- At this time, the FINRA Flex-Funding Account cannot be funded by a credit card payment. If you would like to pay the invoices using a credit card, please uncheck the FINRA Flex-Funding Account box on the Open Invoices screen. In order to pay the invoices and fund your FINRA Flex-funding Account in one transaction, you must submit an Automated Clearing House (ACH) payment.
- Can I set up automatic payments for invoices?
- At this time, E-Bill does not offer automatic payment set-up. However, you can store bank account and credit card information for future use.
- How long does a credit card or ACH payment take to process?
- E-Bill payments are processed overnight and will be reflected in E-Bill the following business day.
- Will I receive a paper invoice from FINRA?
- FINRA has switched the primary delivery method for GIA invoices to electronic invoicing via E-Bill except for Arbitrations, Fines and Costs and Misc. Billing. FINRA will no longer automatically mail invoices to firms, but firms may choose to receive paper invoices by clicking Invoice Delivery button under Invoices menu.
- Who do I contact if I have questions about an invoice?
- For questions related to invoices, please contact the FINRA Call Center at (301) 590-6500. For questions about specific invoice items, contact FINRA Accounts Receivable Department by email or phone number: (240) 386-5910.
- Can I set up automatic payments on E-Bill?
- At this time only Flex-Funding and Invoices automatic Payments (AutoPay) are supported. Users with E-Bill Flex-Funding and Invoice ‘User’ entitlements can now create AutoPay subscriptions for their firm.
- What types of AutoPay are supported?
- For Flex-Funding, you can request to fund the FINRA Flex-Funding account for a specified amount when the account balance falls below a specified threshold. For Invoices, you can request to pay the full invoice amount a specified number of days [1-30] after the invoice is generated. Firms are allowed to create one Flex-Funding subscription per firm and one subscription per invoice type. Please note that the AutoPay is effective starting that night and would pay *all* open invoices that meet the criteria. Please confirm that your bank account has sufficient funds.
- When will the payments be processed?
- E-Bill will automatically initiate a payment on the user’s behalf each night for items that meet the users criteria.
- What payment methods can I use?
- At this time only Bank Account(ACH) is supported. You can use a new account or their saved account for creating the subscription. If using a new account, E-Bill will save a reference to the account information for future processing. Please confirm that your bank account has sufficient funds.
- Why was my subscription inactivated by E-Bill?
- Subscriptions can be inactivated by E-Bill only in cases where you have lost the E-Bill entitlement or the payment information on file was found to be incorrect during payment processing. In such cases, please reinstate your entitlement or contact your bank to obtain correct details for and then create your new subscription.
- How can I setup an AutoPay for an already created AutoPay for my firm?
- Firms are allowed to create one Flex-Funding subscription per firm and one subscription per invoice type. However, if you wish to create your own in lieu of another one created by another firm user, please contact the user who has created the subscription and request to delete the subscription, or contact your SAA to request a delete (SAA has this additional privilege where the SAA can delete subscriptions that are not his own – but the SAA has to have E-Bill Flex-Funding and Invoice ‘User’ entitlements to do the same).
- Can I distinguish AutoPay from normal payments?
- Any AutoPay payments will be marked ‘via AutoPay’ for your reference.
- Where can I find more information about Trading Activity Fee (TAF)?
- Please visit the TAF home page.
- Where can I find more information about Over The Counter Reporting Facility (ORF)?
- Please visit the ORF home page.
- Where can I find more information about Trade Reporting And Compliance Engine / Fixed Income Regulation Fee (TRACE)?
- Please visit the TRACE home page.
- Where can I find more information about Regulatory Transaction FEE / SEC-31 (RGFEE)?
- Please visit Regulatory Transaction Fee Finance FAQ.
- Where can I find more information about Enforcement Fines and Costs?
- Please visit the Enforcement home page.
- Where can I find more information about Arbitration and Mediation (MATRIX)?
- Please visit the Arbitration home page.
- Where can I find more information about Annual Assessment (MREGN))?
- Please visit the Annual Assessment Finance FAQ.
- Where can I find more information about GASB?
- Please visit the GASB Finance FAQ.
- What is Alerts for E-Bill?
- The Alerts functionality allows users to subscribe to alert types, enter alert parameters, and receive email notifications based upon selected criteria.
- Alerts History provides a view of the emails sent.
- Alerts Active Subscription and History displays a user's current subscriptions and a history of subscriptions.
- Where can I find alerts?
- Alerts are found under E-Bill. From the Firm Gateway home page, click the E-Bill tab. The Alerts option is listed on the E-Bill submenu.
- Who has access to alerts?
- Access to alerts is provided by E-Bill entitlements. FINRA Flex-Funding Account and Read-Only FINRA Flex-Funding Account entitlements provide access to Flex-Funding Alerts. Renewal and Read-Only Renewal entitlements provide access to Renewal Alerts. Invoices entitlement provides access to Invoice alerts. SAAs entitled to any of the E-Bill entitlements mentioned above have the ability to view firm's Alert subscription history and subscription history by user.
- How do I set-up an Alert?
- To set an alert, select the Alerts option from the E-Bill submenu. Select the desired alert from the Alerts/Subscription navigation panel, located on the left side of the screen. Enter the criteria for the alert. Click the Update button and the OK button.
- Where can I find the list of available Alerts?
- The list of available Alerts is displayed in the Alerts/Subscription navigation panel on the left side of the screen. Currently, there are four categories of alerts: Flex-Funding Account, Renewal Account, Invoices, and General Settings. The availability of Alerts is dependent on entitlement(s).
- Can I have Alerts sent to multiple users?
- Subscriptions are based on individual User Names/IDs. Multiple users can request a subscription to the same Alert. However, each user must subscribe to an alert individually.
- Who gets the Alert email?
- E-Bill Alerts are subscription based. Only the user who subscribes to the alert gets the alert.
- Will all SAAs automatically receive an Alert when a new invoice is available?
- No. Alerts for invoices will not be sent automatically to SAAs. SAAs must subscribe to receive Invoice Alerts.
- What is the 'from' email address?
- DoNotReplyEBill@finra.org inbox is the "from" email address. The email address is not monitored. For any queries regarding E-Bill or its functionality please reach out to the FINRA Gateway Call Center at (301) 590-6500.
- When will the Invoice Alert be sent?
- Invoice Alert emails are sent to users in the morning. Alerts are generated after the batch process for invoices has occurred. After the invoices have reconciled, the system will email any Invoice Alerts based upon the criteria saved by the user.
- How often, per invoice, can we receive the "delinquent invoice" alert?
- The Delinquent Invoice alert is only sent once per invoice.
- Why are alerts different between different invoice alert types?
- There are different invoice alert types because payment terms differ between invoices. For example, Invoices that have a payment term of 30 days have all available alert types. Invoices that are due on the day they are generated do not have the alert type "Invoices Due In." Invoices that are due quarterly do not have the alert types "Invoices Due In" and "Invoices Past Due."
- What is the difference between Alert History and Alert Subscription and History?
- Alert History shows a list of emails that were generated and sent to the user in a 30-day period. Alert Subscription and History defaults to display ALL active subscriptions for the user, with the option to include history - which displays all active and inactive alerts for 12 months.
- Will all users see the Alerts History?
- All users will have the option to see their own Alert History. E-Bill entitled SAAs will see all history for all users in the firm, including their own.
- Can you retrieve email from history?
- Email cannot be retrieved. However, the Alert History link on the left navigation panel will display a summary of emails that were sent.