E-Bill Frequently Asked Questions (FAQ)
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- 1. What is E-Bill and what can I do in E-Bill?
- E-Bill is FINRA's financial system that enables entitled users to view accounting details of the firm's Flex-Funding and Renewal accounts, fund the accounts, pay annual renewal assessments and view and pay FINRA invoices.
- 2. What are the browser requirements for using E-Bill?
- Internet Explorer 9.x and above
- Firefox 45 and above
- Chrome 49 and above
- Safari 9.x and above
- Please see the Upgrade Your Web Browser page for more information.
- 3. Who do I contact if I have questions about E-Bill?
- For questions related to E-Bill contact the FINRA Call Center at (301) 590-6500.
- 4. What are some of the new features implemented in E-Bill?
- The system now displays full accounting details of FINRA Flex-Funding and Renewal accounts, including Pending Total, which includes intra-day and pending activity from Web CRD/IARD and E-Bill.
- E-Bill recently implemented a change that displays the sufficient balance as a positive number and deficient balance as a negative number.
- Several enhancements have been added to Account Details:
- Users can choose a custom date range to view Account Details. Choose from pre-set intervals, or a custom date range that can extend beyond a 30-day period.
- Account details can be exported into one .csv file.
- Filters have been added, allowing for customized views within the Activity and Fee tabs. Click on the filter icon to display filter options.
- Fee Transactions per day are listed in one row, labeled Fee Transactions, with the number of transactions listed in parenthesis.
- 5. Where do I access E-Bill?
- E-Bill can be accessed via Firm Gateway at: https://firms.finra.org/ebill/
- 6. How do I get started using E-Bill?
- Your firm's Super Account Administrator (SAA) must grant you appropriate entitlements in the User Administration section of Firm Gateway. If you do not know who is your firm's SAA, please contact the FINRA Call Center at (301) 590-6500.
- 7. What entitlements are needed for E-Bill tasks?
- E-Bill entitlements are required to access E-Bill.
- Read-Only FINRA Flex-Funding Account entitlement allows users to view transaction details of the firm's Flex-Funding Account and associated Flex-Funding Alerts.
- FINRA Flex-Funding Account entitlement allows users to add funds to the firm's Flex-Funding Account, pay registration-related fees, request refund checks from a Flex-funding account, view transaction details of a Flex-Funding Account and associated Flex-Funding Alerts.
- Reallocation entitlement allows users to pay outstanding renewal assessments and invoices by using funds from the firm's Flex-Funding account. They can also transfer funds to a Flex-Funding Account(s) of affiliate firm(s).
- Read-Only Renewal entitlement allows users to view transaction details of the firm's Renewal and associated Renewal Alerts.
- Renewal entitlement allows users with this privilege to pay outstanding renewal assessments, view transaction details of a final Renewal assessment and associated Renewal Alerts.
- Invoices entitlement allows users with this privilege to view and pay outstanding Invoices.
- 8. What payment methods are available in E-Bill for funding the Flex-Funding Account?
- FINRA Flex-Funding Account can be funded by an ACH payment method or an Affiliate Firm Transfer.
- 9. What steps can a firm take to ensure prompt deposit of funds into its Flex-Funding account?
- To ensure timely and accurate processing of deposits, please read the instructions provided on the Web CRD Payment Methods & Addresses page for the payment method you choose.
- 10. How do I determine the amount needed to clear my firm's "Deficient" account status?
- Estimated balance will reflect the amount by which your account is currently deficient. Please note that this balance does not reflect check and wire deposits that were initiated outside of E-Bill.
- 11. My firm's account is showing a deficient balance. Will the registration request I submit still be accepted?
- Yes, your firm will still be able to submit the form filing in Web CRD; however, a deficient account status will prevent a registration request from being approved or an exam window from opening.
- Please note that Investment Adviser firms cannot submit Form ADV filings when insufficient funds are available to cover the Accounting Charges noted in the Completeness Check section.
- 12. I work for a joint broker-dealer/investment adviser (BD/IA) firm. Do we have separate Flex-Funding accounts for registration requests?
- No. A joint BD/IA firm has one shared Flex-Funding account and Web CRD/IARD deducts transactions for BD and IA registration requests from that one account. Transactions through Web CRD or IARD can be easily identified in the Activity Details and Fees tabs. Funds deposited to the shared Flex-Funding Account will be available for all filings made.
- 13. Where can I find a detailed monthly accounting report?
- There are two options:
- Click Flex-Funding Account Details
- Click the fees tab
- Click the drop down in the "Activity for" section and select "Last Month" or "Custom Date Range"
- Click Export, and the account details will export into a csv file.
Firms can request the Account Activity Report from the available reports in Web CRD and retrieve financial activity for up to the previous 13 months. This information is available as a report or a download. For additional information on reports available through Web CRD, refer to the Web CRD Reports Quick Reference Guide or the instructions on How to Download a Report page.
- 14. How can I find specific charges related to an individual associated with my firm?
- To find specific charges related to an individual, entitled users can:
- Click the "Fees" tab.
- Select a date range (by default last 30 days are shown).
- Click the "Show Filter" link or the filter icon.
- Filter for a specific transaction by CRD number or other filter criteria.
- Click the Apply All button.
- 15. How are fees processed for Simultaneous Filing Group firms (applicable only to joint BD/IA firms)?
- The primary Simultaneous Filing Group (SFG) firm pays all FINRA fees, regardless of which SFG firm submits the filing. These fees include FINRA registration fees, exam fees, and fingerprint processing fees (if applicable). Each firm pays their own state registration fees and other non-FINRA fees.
- 16. How are fees processed for affiliated firms (firms not a part of a Simultaneous Filing Group)?
- Each firm pays its own fees. The exception is that only the filing firm pays fees related to exams and fingerprints (if applicable).
- 17. For a new individual requesting an RA registration, does the System Processing Fee (Initial Set-up Fee) apply when filing the Initial Form U4?
- Yes. An Initial Set-up Fee is charged for an individual when an Initial Form U4 is processed.
- 18. What is reallocation?
- The Reallocation payment method allows users to pay open invoices and the Renewal Statement assessment using the funds already available in their firm's Flex-Funding Account. Other transactions initiated during the day will be processed prior to any reallocation requests made that same day. If your Flex-Funding Account balance is not sufficient to cover the reallocation submitted once all other transactions have been processed, the reallocation will not be processed.*
*Reallocation entitlement is required in order to use reallocation as a payment method.
- 19. How are reallocation payments reflected in E-Bill Account Details?
- Reallocations will display in Flex-Funding and Renewal Details as a transfer type labeled EBill reallocation.
- 20. How long does a reallocation payment take to process?
- Reallocation requests are processed nightly and will be reflected in E-Bill the following day.
- 21. I have the required entitlement to see the Renewal Account in E-Bill, but I am unable to see the Renewal on the Open Invoices/Accounts page?
- On the overview page the Renewal section will only display during the annual renewal Period. This section will display once the Preliminary Renewal Statement is generated. You would be able to make a payment to your renewal during the renewal period or if your firm has an amount due. You would be able to access Renewal History year long.
- 22. How do I view my Renewal Statement in E-Bill?
- Latest Renewal statements are now available on E-Bill. Please see the Annual Renewal Program page to review upcoming dates and other relevant information.
- 23. What payment methods are available in E-Bill for funding the Renewal Account?
- The Renewal account can be funded by ACH or by reallocating funds from your firm's Flex-Funding Account. Please see the E-Bill User Guide for complete instructions.
- 24. Can I make partial payments towards my Renewal Statement Charges?
- Partial payments can be made for both the Preliminary and Final Renewal Statements. However, payment in full is required by the due date.
- 25. Can I pay more than the amount owed on my Preliminary Renewal Statement?
- You have the option to make a payment greater than the amount owed on the Preliminary Renewal Statement. This option is available in the event you expect additional charges to be assessed when the Final Renewal Statement is generated. Once the Final Renewal Statement is generated, if you still have an outstanding balance, the payment amount cannot exceed the amount owed.
- 26. How will the credit from my Final Renewal Statement be refunded to my firm?
- Credits, if any, will be adjusted to the Flex-Funding Account. Firms can use the funds for other FINRA activities, or request a refund.
- 27. What payment methods can I use to pay invoices?
- Invoice payments can be made by credit card, ACH, or by reallocating funds from your firm's FINRA Flex-Funding Account in E-Bill. Please see the Invoices – Pay Open Invoices section of the E-Bill User Guide for complete instructions.
- Invoice payments can also be made by sending a check or wire transfer. Remember to include your invoice number and customer number with the payment. View making payments to FINRA by check for more details.
- 28. What major credit cards accepted?
- E-Bill accepts the following credit cards: Visa, MasterCard, American Express, and Discover. Credit card payments are only available for some invoices and not allowed for Flex-Funding and Renewal Accounts.
- 29. I selected to pay an invoice and fund the Flex-Funding Account, but I do not see the pay by credit card option. Why?
- At this time, the FINRA Flex-Funding Account cannot be funded by a credit card payment. If you would like to pay the invoices using a credit card, please uncheck the Flex-Funding Account box on the Open Invoices screen. In order to pay the invoices and fund your Flex-funding Account in one transaction, you must submit an ACH payment.
- 30. Can I set up automatic payments for invoices?
- At this time, E-Bill does not offer automatic payment set-up. However, you can store bank account and credit card information for future use.
- 31. How long does a credit card or ACH payment take to process?
- E-Bill payments are processed overnight and will be reflected in E-Bill the following business day.
- 32. Will I receive a paper invoice from FINRA?
- FINRA has switched the primary delivery method for GIA invoices to electronic invoicing via E-Bill except for Arbitrations, Fines and Costs and Misc. Billing. FINRA will no longer automatically mail invoices to firms, but firms may choose to receive paper invoices by clicking Invoice Delivery button under Invoices menu. See the Invoices – Invoice Delivery Options section of the E-Bill User Guide for more information.
- 33. Who do I contact if I have questions about an invoice?
- For questions related to invoices, please contact the FINRA Call Center at (301) 590-6500. For questions about specific invoice items, contact FINRA Accounts Receivable Department by email or phone number: (240) 386-5910.
- 34. Where can I find more information about Trading Activity Fee (TAF)?
- Please visit the TAF home page.
- 35. Where can I find more information about Over The Counter Reporting Facility (ORF)?
- Please visit the ORF home page.
- 36. Where can I find more information about Trade Reporting And Compliance Engine / Fixed Income Regulation Fee (TRACE)?
- Please visit the TRACE home page.
- 37. Where can I find more information about Regulatory Transaction FEE / SEC-31 (RGFEE)?
- Please visit Regulatory Transaction Fee Finance FAQ.
- 38. Where can I find more information about Enforcement Fines and Costs?
- Please visit the Enforcement home page.
- 39. Where can I find more information about Arbitration and Mediation (MATRIX)?
- Please visit the Arbitration home page.
- 40. Where can I find more information about Annual Assessment (MREGN))?
- Please visit the Annual Assessment Finance FAQ.
- 41. Where can I find more information about GASB?
- Please visit the GASB Finance FAQ.
- 42. What is Alerts for E-Bill?
- The Alerts functionality allows users to subscribe to alert types, enter alert parameters, and receive email notifications based upon selected criteria.
- Alerts History provides a view of the emails sent.
- Alerts Active Subscription and History displays a user's current subscriptions and a history of subscriptions.
- 43. Where can I find alerts?
- Alerts are found under E-Bill. From the Firm Gateway home page, click the E-Bill tab. The Alerts option is listed on the E-Bill submenu.
- 44. Who has access to alerts?
- Access to alerts is provided by E-Bill entitlements.
- Flex-Funding Alerts are available to all users with FINRA Flex-Funding Account and/or Read-Only FINRA Flex-Funding Account entitlements.
- Renewal Alerts are available to all users with Renewal and/or Read-Only Renewal entitlements.
- Invoices alerts are available to all users with Invoice entitlement.
- SAAs entitled to any of the E-Bill entitlements mentioned above have the ability to view firm's Alert subscription history and subscription history by user.
- 45. How do I set-up an Alert?
- See the Alerts section of the E-Bill User Guide for complete instructions about setting up various E-Bill Alerts. Please note that Alerts availability is dependent on entitlement(s).
- 46. Where can I find the list of available Alerts?
- The list of available Alerts is displayed in the Alerts/Subscription navigation panel on the left side of the screen. Currently, there are four categories of alerts: Flex-Funding Account, Renewal Account, Invoices, and General Settings. The availability of Alerts is dependent on entitlement(s).
- 47. Can I have Alerts sent to multiple users?
- Subscriptions are based on individual User Names/IDs. Multiple users can request a subscription to the same Alert. However, each user must subscribe to an alert individually.
- 48. Who gets the Alert email?
- E-Bill Alerts are subscription based. Only the user who subscribes to the alert gets the alert.
- 49. Will all SAAs automatically receive an Alert when a new invoice is available?
- No. Alerts for invoices will not be sent automatically to SAAs. SAAs must subscribe to receive Invoice Alerts.
- 50. What is the 'from' email address?
- DoNotReplyEBill@finra.org inbox is the "from" email address. The email address is not monitored. For any queries regarding E-Bill or its functionality please reach out to the FINRA Gateway Call Center at (301) 590-6500.
- 51. When will the Invoice Alert be sent?
- Invoice Alert emails are sent to users in the morning. Alerts are generated after the batch process for invoices has occurred. After the invoices have reconciled, the system will email any Invoice Alerts based upon the criteria saved by the user.
- 52. How often, per invoice, can we receive the "delinquent invoice" alert?
- The Delinquent Invoice alert is only sent once per invoice.
- 53. Why are alerts different between different invoice alert types?
- There are different invoice alert types because payment terms differ between invoices. For example, Invoices that have a payment term of 30 days have all available alert types. Invoices that are due on the day they are generated do not have the alert type "Invoices Due In." Invoices that are due quarterly do not have the alert types "Invoices Due In" and "Invoices Past Due."
- 54. What is the difference between Alert History and Alert Subscription and History?
- Alert History shows a list of emails that were generated and sent to the user in a 30-day period. Alert Subscription and History defaults to display ALL active subscriptions for the user, with the option to include history - which displays all active and inactive alerts for 12 months.
- 55. Will all users see the Alerts History?
- All users will have the option to see their own Alert History. E-Bill entitled SAAs will see all history for all users in the firm, including their own.
- 56. Can you retrieve email from history?
- Email cannot be retrieved. However, the Alert History link on the left navigation panel will display a summary of emails that were sent.