Firm Renewal Report Guide

The information provided in this job aid is intended to serve as a reference for firms to determine the annual renewal fees charged per registered individual as listed on the Renewals – Firm Renewal Report and Download.1

When requesting the Renewals – Firm Renewal Report and Download, select the ‘Yes’ option in answer to ‘Generate Zipped CSV file?’ parameter.

Open the Excel file provided in the resulting zip file to review individual fees. The report includes a line item for every relevant regulatory entity for each individual. It also includes line items for system processing, SD and personnel assessment fees, and individual regulator counts.

  1. Filter or sort by Individual CRD# in column J. Uncheck ‘Select All’ and select one or more check boxes next to the individual CRD number if you use the filter.
  2. For the FINRA System Processing Fee, review column “V” to determine the number of regulators for a given individual. This could include FINRA, states/jurisdictions, and regulators. For example, an individual maintaining FINRA-GS, CBOE-GS, Illinois-AG, and Indiana-AG registrations would total 4 regulators in column “V” while the fee is in column "P".

  3. Add each of the registration fee rows together using the applicable fee columns to determine the total fees charged for a given individual. This could include multiple fees to include FINRA and states/jurisdictions. For example, an individual maintaining FINRA-GS, CBOE-GS, Illinois-AG, and Indiana-RA registrations would include fees from columns P+Q+M+O.

    Regulator (D)Individual Reg TypeFee Column
    FINRA-CRDRR 
    FINRA System Processing FeeP
    SD Tier 1 FeeT
    SD Tier 2 FeeU
    Regulator CountV
    FINRA-IARDIAR 
    RA System Processing FeeQ
    JurisdictionAG, RA, or AG/RA (L) 
    Individual registered only as AG with firmM
    Individual registered only as RA with firmN
    Individual registered as AG and RA with firmM + O
  4. If you are having trouble with the calculations, please email us for assistance.

FINRA Compliance Tool Disclaimer

This optional tool is provided to assist member firms. This tool is provided as a starting point, and you must tailor this tool to reflect the size and needs of your firm. Using this tool does not guarantee compliance with or create any safe harbor with respect to FINRA rules, the federal securities laws or state laws, or other applicable federal or state regulatory requirements. This tool does not create any new legal or regulatory obligations for firms or other entities.

Updates – This tool was last reviewed and updated, as needed, on February 5, 2026. This tool does not reflect any regulatory changes since that date. FINRA periodically reviews and update these tools. FINRA reminds member firms to stay apprised of new or amended laws, rules and regulations, and update their WSPs and compliance programs on an ongoing basis.

Member firms seeking additional guidance on certain regulatory obligations should review the relevant FINRA Topic Pages.

Staff Contact(s) – FINRA's Office of General Counsel (OGC) staff provides broker-dealers, attorneys, registered representatives, investors and other interested parties with interpretative guidance relating to FINRA’s rules. Please see Interpreting the Rules for more information.

OGC staff contacts:
John Nachmann
1700 K Street, NW
Washington, DC 20006
(202) 728-8000

1 Note: The FINRA-PA Fee row indicates that the FINRA Personnel Assessment Fee will be assessed in the upcoming year. This fee is not included in the Renewal Fees assessed and so is marked as $0 in column M on this report.

If the Firm RA Sole Proprietor Waiver Fee or the Individual RA Sole Proprietor Waiver Fee is granted, columns R and S, respectively, the report will display ‘Yes’ in the column(s).

If your firm or any registered individuals at your firm fall into any of the following categories and you have questions about the Renewal – Firm Renewal Report and Download, please send an email requesting assistance.