Firm Renewal Report Guide

The information provided in this job aid is intended to serve as a reference for firms to determine the annual renewal fees charged per registered individual as listed on the Renewals – Firm Renewal Report and Download.1

When requesting the Renewals – Firm Renewal Report and Download, select the ‘Yes’ option in answer to ‘Generate Zipped CSV file?’ parameter.

Open the Excel file provided in the resulting zip file to review individual fees. The report includes a line item for every relevant regulatory entity for each individual. It also includes line items for system processing, SD and personnel assessment fees.

  1. Filter or sort by Individual CRD# in column J. Uncheck ‘Select All’ and select one or more check boxes next to the individual CRD number if you use the filter.
  2. Add each of the registration fee rows together using the applicable fee columns to determine the total fees charged for a given individual. This will include multiple fees to include FINRA and states/jurisdictions. For example, an individual maintaining FINRA-GS, State-AG, and State-RA registrations would include fees from columns P+Q+M+O.
     
    Regulator (D) Individual Reg Type Fee Column
    FINRA-CRD RR  
    FINRA System Processing Fee P
    SD Tier 1 Fee T
    SD Tier 2 Fee U
    FINRA-IARD IAR  
    RA System Processing Fee Q
    Jurisdiction AG, RA, or AG/RA (L)  
    Individual registered only as AG with firm M
    Individual registered only as RA with firm N
    Individual registered as AG and RA with firm M + O
  3. If you are having trouble with the calculations, please email email us for assistance.

1 Note: The FINRA-PA Fee row indicates that the FINRA Personnel Assessment Fee will be assessed in the upcoming year. This fee is not included in the Renewal Fees assessed and so is marked as $0 in column M on this report.

If the Firm RA Sole Proprietor Waiver Fee or the Individual RA Sole Proprietor Waiver Fee is granted, columns R and S, respectively, the report will display ‘Yes’ in the column(s).

If your firm or any registered individuals at your firm fall into any of the following categories and you have questions about the Renewal – Firm Renewal Report and Download, please send an email requesting assistance.