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IM-Section 4(b)(1) and (e) Exemption from Certain Registration and Membership Application Fees for Certain NYSE and NYSE American LLC Member Organizations

NYSE and NYSE American LLC member organizations that become members of FINRA pursuant to IM-1013-1 and IM-1013-2, respectively, shall not be assessed the fee set forth in Section 4(b)(1) to Schedule A of the FINRA By-Laws for the initial Form U4 filed by firms for the registration of any representative or principal associated with the member organization at the time a firm submits its application for FINRA membership. Such firms also shall not be assessed the membership application fee set forth in Section 4(e) to Schedule A of the FINRA By-Laws. However, those firms will otherwise remain subject to FINRA’s By-Laws and Schedules to By-Laws, including Schedule A.
Amended by SR-FINRA-2021-018 eff. July 6, 2021.
Amended by SR-FINRA-2008-043 eff. Oct. 1, 2008.
Amended by SR-FINRA-2008-001 eff. Jan. 1, 2008.
Adopted by SR-NASD-2007-056 eff. Oct. 12, 2007.

Selected Notices: 07-52, 08-19