Regulatory Fees and Payment Options

FINRA assesses and collects regulatory fees that fund FINRA's regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.

FINRA provides several options for firms to pay these fees. Firms may pay invoices via check, ACH payment, credit card or wire transfer.

FINRA also provides an electronic billing system, E-Bill, which enables firms to view and pay invoices through the FINRA Firm Gateway—an online tool that provides centralized access to FINRA regulatory and filing applications.

Firms may use one of the following methods to make payments to FINRA:

  • E-Bill (preferred)—view and pay invoices via credit card, ACH or by reallocating funds from your firm's FINRA Flex-Funding Account. Your bank may require FINRA’s Company ID to process transactions via E-Bill. In these instances, please use the following Company IDs: 1222528267, 1222528268 or 1222528269.
  • Check
  • Wire Transfers/ACH
  • FINRA Flex-Funding Account
  • FINRA Renewal Account—available in E-Bill only during the annual Renewal Period

Contact

If you have any questions, please contact the FINRA Accounts Receivable Department at (240) 386-5910.