Regulatory Notice 17-31

FINRA Amends Section 13 of Schedule A to the FINRA By-Laws to Establish Charges for New Option to File Websites and Web Pages in Native Format

Implementation Date: October 5, 2017

Summary

FINRA has filed for immediate effectiveness amendments to Section 13 of Schedule A to the FINRA By-Laws governing the review charge for communications filed with or submitted to FINRA’s Advertising Regulation Department. The amendments do not increase the filing fees for the review of communications. The amendments establish charges for a new option to submit websites and web pages in their native format in anticipation of the impending upgrade to the Advertising Regulation Electronic Files (AREF) System. The amendments do not change the current filing requirements under FINRA Rules 2210 (Communications with the Public) or 2220 (Options Communications).

Included with this Notice is Attachment A, the text of amended Section 13.

Questions concerning this Notice should be directed to:

  • Amy C. Sochard, Senior Director, Advertising Regulation, at (240) 386-4508; or
  • Pramit K. Das, Associate Director, Advertising Regulation Technology, at (240) 386-4544.