IM-Section 4(e) Partial Waiver of Membership Application Fee for Certain Firms Applying Due to Amended SEA Rule 15b9-1
Firms that apply for FINRA membership pursuant to IM-1013-3 shall be assessed one-half the applicable membership application fee set forth in Section 4(e) of Schedule A to the FINRA By-Laws. Those firms will otherwise remain subject to the FINRA By-Laws and Schedules to By-Laws, including Schedule A.
|Adopted by SR-FINRA-2023-014 eff. Oct. 30, 2023.|
Selected Notice: 23-19.