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. State sales tax is also assessed for certain FINRA-provided products or services; please review the E-Bill state sales tax information for details.

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 Gateway—an online tool that provides centralized access to FINRA regulatory and filing applications.

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

1. 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.

2. Check

To ensure your firm's payments are applied to the correct invoice in a timely manner, firms must include invoice numbers on all check remittances. Note: If a firm submits a payment without an invoice number, FINRA will apply the funds to the firm's FINRA Flex-Funding account, which is accessible via E-Bill. Someone at your firm must then transfer the funds to the appropriate invoice in order for the invoice to be closed. Use the following information to make payments to FINRA.

To mail a check to FINRA, include the invoice number on the check and mail the payment to:

All Payments (except GASB payments)

  • Standard Mailing Address
    FINRA
    P.O. Box 418911
    Boston, MA 02241-8911
  • Overnight/Courier Address
    Bank of America Lockbox Services
    FINRA 418911
    MA5-527-02-07
    2 Morrissey Blvd.
    Dorchester, MA 02125

FINRA-GASB Payments

  • Standard Mailing Address
    FINRA-GASB
    P.O. Box 418925
    Boston, MA 02241-8925
  • Overnight/Courier Address
    Bank of America Lockbox Services
    GASB 418925
    MA5-527-02-07
    2 Morrissey Blvd.
    Dorchester, MA 02125

3. Wire Transfers/ACH

To ensure your firm's payments are applied to the correct invoice in a timely manner, firms must include invoice numbers in the reference number on ACH and wire payments. Note: If a firm submits a payment without an invoice number, FINRA will apply the funds to the firm's FINRA Flex-Funding account, which is accessible via E-Bill. Someone at your firm must then transfer the funds to the appropriate invoice in order for the invoice to be closed. Use the following information to make payments to FINRA.

To wire a payment to FINRA, provide your firm's bank with the following information:

FINRA and Subsidiaries (except GASB payments)

  • Bank Name: Bank of America
    Transfer funds to: FINRA
    Wire ABA Number: 026009593
    ACH ABA Number: 054001204
    Beneficiary: FINRA-9509 Key West Avenue-Rockville, MD 20850
    FINRA Account Number: 226005684771
    Swift Code For Wires Sent In U.S. Dollars: BOFAUS3N
    Swift Code For Wires Sent In Foreign Currency: BOFAUS6S
    Reference Number: Invoice number

GASB Payments

  • Bank Name: Bank of America
    Transfer funds to: FINRA
    Wire ABA Number: 026009593
    ACH ABA Number: 054001204
    Beneficiary: FINRA-9509 Key West Avenue-Rockville, Md 20850
    FINRA Account Number: 226005684823
    Reference Number: Invoice number

4. FINRA Flex-Funding Account

The Flex-Funding Account allows firms to pay invoices and fees assessed in CRD. Firms may deposit funds into the Flex-Funding Account by check, ACH payment or wire transfer. Firms that want to send hard copy checks or fund their account through wire transfer to their Flex-Funding Account can obtain instructions here. Please note that credit card payments are not currently supported for funding the Flex-Funding Account.

5. FINRA Renewal Account

This option is available in E-Bill only during the annual Renewal Period

Questions?

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