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Section 7 — Fees for Filing Documents Pursuant to the Corporate Financing Rule
(a) There shall be a fee imposed for the filing of initial documents relating to any offering filed with FINRA pursuant to the Corporate Financing Rule equal to: (1) $500 plus .015% of the proposed maximum aggregate offering price or other applicable value of all securities registered on an SEC registration statement or included on any other type of offering document (where not filed with the SEC), but shall not exceed $225,500; or (2) $225,500 for an offering of securities on an automatically effective Form S-3 or F-3 registration statement filed with the SEC and offered pursuant to Securities Act Rule 415 by a Well-Known Seasoned Issuer as defined in Securities Act Rule 405. The amount of the filing fee may be rounded to the nearest dollar.
(b) There shall be an additional fee imposed for the filing of any amendment or other change to the documents initially filed with FINRA pursuant to the Corporate Financing Rule equal to .015% of the net increase in the maximum aggregate offering price or other applicable value of all securities registered on an SEC registration statement, or any related Securities Act Rule 462(b) registration statement, or reflected on any Securities Act Rule 430A prospectus, or included on any other type of offering document. However, the aggregate of all filing fees paid in connection with an SEC registration statement or other type of offering document shall not exceed $225,500.
|Amended by SR-FINRA-2012-029 eff. July 2, 2012.
Amended by SR-FINRA-2008-001 eff. Jan 1, 2008.
Amended by SR-NASD-2007-006 eff. Feb. 26, 2007.
Amended by SR-NASD-2004-177 eff. Jan. 1, 2005.
Amended by SR-NASD-2002-99 eff. Dec. 30, 2002.
Amended by SR-NASD-2002-182 eff. Dec. 24, 2002.
Amended by SR-NASD-2002-98 eff. July 24, 2002.
Amended by SR-NASD-99-01 eff. May 17, 1999.
Amended by SR-NASD-98-87 eff. Nov. 23, 1998.
Amended by SR-NASD-94-12 eff. Mar. 7, 1994.
Amended eff. Sept. 7, 1989 and Apr. 15, 1992.
Schedule A, Sec. 6 added eff. May 25, 1970.
Selected Notices: 88-81, 99-50, 04-91, 07-05, 12-32.