ORF Data Delivery Plus Fee
FINRA assesses the ORF Data Delivery Plus service fee per each MPID that the firm enrolls in the service. The firm's monthly fee is based on:
the average number of transactions the MPID was a party to* per month over the prior calendar year, which is used to categorize the MPID in one of 4 tiers, and
the number of "Plus" reports (reports for dates
FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer”
ORF Migration Industry Call
h2{padding-bottom:0; margin-bottom:0;}
In this section of FINRA.org, you will find step-by-step instructions on how to become a funding portal member of FINRA. The funding portal membership requirements are set forth in Funding Portal Rule 110. This general guide outlines the substantive standards and procedures for the entire funding portal membership application and registration process.
Many firms will, from time to time, seek to expand or change their business. However, broker-dealer firms must file a Form BD amendment and/or a Continuing Membership Application (CMA) before making certain changes. Below are resources to help firms understand when and how to file an update.
When To File An Update
Learn what forms a firm must file
Resource Page for the SEC’s July 2013 Financial Responsibility Rule Amendments
Representatives of broker-dealers, investment advisers or issuers of securities must be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs).
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
