Regulatory Notice 09-56

Proposed Changes to the Personnel Assessment and Gross Income Assessment Fees; Effective Date: Upon SEC Approval With an Implementation Date of January 1, 2010

On August 20, 2009, FINRA filed with the SEC a proposal to change FINRA's regulatory pricing structure by restructuring the Personnel Assessment and Gross Income Assessment fees in order to stabilize revenues used to fund FINRA's regulatory activities. If approved, the pricing changes would take effect on January 1, 2010. The SEC has published the proposal for comment. FINRA encourages firms to send comments to the SEC by the October 2, 2009, deadline.

 

Questions concerning this Notice should be directed to:

 

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