(a) Recovery of cost of services. FINRA shall, in accordance with this section, collect member regulatory fees that are designed to recover the costs to FINRA of the supervision and regulation of members, including performing examinations, financial monitoring, and policy, rulemaking, interpretive, and enforcement activities. FINRA shall periodically review these revenues in conjunction with
StatusCode for StatusDescriptionAbandonedABANDONEDA manually set status that indicates that information for an individual has not been submitted to a state within the time period specified by the state. The individual cannot conduct business.Administrative TerminationADMTERMA status which has been set pursuant to a termination for administrative reasons (i.e. Mass Terminations)Approved Pending
FINRA operates Monday through Friday during regular business hours, except as indicated below.2024 DateHolidayMonday, January 2, 2024New Year’s DayFriday, January 12, 2024Friday before Martin Luther King, Jr. Day (1 p.m. early close)Monday, January 15, 2024Martin Luther King, Jr. DayFriday, February 16, 2024Friday before President's Day (1 p.m. early close)Monday, February 19, 2024President’
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November. FINRA publishes Final Statements in January to confirm or reconcile the actual renewal fees BD and IA firms owe after Jan. 1, 2024.
2024 Holiday ScheduleMonday, January 1, 2024New Year’s Day ObservationMonday, January 15, 2024Martin Luther King, Jr. DayMonday, February 19, 2024Presidents' DayFriday, March 29, 2024Good Friday (system closed)Monday, May 27, 2024Memorial DayWednesday, June 19, 2024JuneteenthWednesday, July 3, 2024Day before Independence Day (1 p.m. early close)Thursday, July 4, 2024Independence DayMonday,
Various state statutes provide for speedy trials in civil actions involving seniors or seriously ill parties. FINRA recognized a need for expedited hearings in arbitrations involving such parties in its dispute resolution forum.
The annual IRS contribution limits are increased periodically due to inflation, but they are not increased every year. The table on this page provides an overview of the maximum annual contribution limits for the current year.
12 p.m. ET:The FINRA Test Facility (NTF) is now available for testing. TRAQS users will be able to view all history data except for any transactions that were sent in this morning between 8:00 a.m. and 10:30 a.m. ET for TRACE CA and SP. All other products will display the full transaction history. Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice
The Neutral Corner – Volume 4—2023
On This PageSection 100: GeneralSection 200: Equity and OptionsSection 300: DebtSection 400: FuturesGeneralQ100.1: What is the Trading Activity Fee?A100.1: The Trading Activity Fee, or TAF, is one of the member regulatory fees FINRA assesses to recover the costs the supervising and regulating firms. This includes costs associated with performing examinations, financial monitoring, and FINRA’s