After sending e-bills to supervised firms, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 23-01 in connection with its annual Renewal Program to remind broker-dealers, investment adviser firms, agents and investment adviser representatives, and branches of their obligation to pay their yearly licensing, branch, and – if applicable – processing fees by January 27, 2023 and to support them in their reconciliation of the e-bill statement with their own records. The notice thereby outlines how the fees outlined in the e-bills are derived by FINRA and what firms might do in case of discrepancies. Finally, the notice describes the methods of payment accepted by the Authority.
Other Features
broker
fees
financial advisors
investment firms
registration
Date Published: 2023-01-03
Regulatory Framework: FINRA Rules
Regulatory Type: information
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