IM-1013-3. Membership Application Process for Certain Firms Applying Due to Amended SEA Rule 15b9-1
This Interpretive Material sets forth a membership application process for those firms that must become FINRA members due to amendments to SEA Rule 15b9-1, as adopted by the SEC on August 23, 2023.
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. |
21-02794.pdf
consolidated with 22-00316
21-02793.pdf
consolidated with 22-00316
21-02796.pdf
consolidated with 22-00316
21-02795.pdf
consolidated with 22-00316
21-02792.pdf
consolidated with 22-00316
Information Notice 11/1/23
Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2024 or the first quarter of 2025. FINRA reminds members that all such filings they submit to FINRA must be made electronically through FINRA Gateway.