Regulatory Notice 09-68

SEC Approves Changes to the Personnel Assessment and Gross Income Assessment Fees

Effective Date: January 1, 2010

The SEC has approved changes to FINRA’s regulatory pricing structure as originally outlined in Regulatory Notice 09-56 (September 2009). Effective January 1, 2010, FINRA will implement a new Personnel Assessment rate structure and a revised calculation for the Gross Income Assessment.

The text of the amendments to Schedule A of the FINRA By-Laws is set forth in Attachment A.

Questions concerning this Notice should be directed to:

  • Finance at (240) 386-5397; or
  • the Office of General Counsel at (202) 728-8071.