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(a) Fees for Claims Filed by Customers, Associated Persons and Other Non-Members
(1) Customers, associated persons, and other non-members who file a claim, counterclaim, cross claim or third party claim must pay a filing fee in the amount indicated in the schedule below.
Filing Fees for Claims Filed by Customers, Associated Persons,
and Other Non-
Attend this session to hear about the New FINRA Gateway, that will replace the current Firm Gateway. FINRA Gateway is an enhanced reporting and compliance user experience, which will roll out over the coming months.
Summary
The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all their staff to remote work environments and implement remote supervisory practices. FINRA is committed to providing guidance, updates and other information to help firms and stakeholders stay informed about the latest regulatory
WASHINGTON—FINRA announced today that it has ordered Stifel, Nicolaus & Company, Incorporated to pay approximately $1.9 million in restitution, plus interest, to more than 1,700 customers in connection with early rollovers of Unit Investment Trusts (UITs). FINRA also fined the firm $1.75 million for providing inaccurate information to customers related to rollover costs incurred, and for
In many cases, an unforeseen emergency can derail your financial plans. However, there are steps you can take to soften the impact of an unexpected hit to your finances. Here are a few tips on how to prepare for and survive financial hardships.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 to reduce the 15-minute TRACE reporting timeframe to one minute, with exceptions for member firms with de minimis reporting activity and for manual trades.
The second-quarter corporate and agency data tables for the TRACE Fact Book are now available.
When you retire, you leave behind many things—the daily grind, commuting, maybe your old home—but one thing you keep is a tax bill. In fact, income taxes can be your single largest expense in retirement.
SummaryEffective May 22, 2024, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $8.00 per million dollars in transactions to a new rate of $27.80 per million dollars in transactions.Finance-related questions should be directed to:Amanda Rath, Manager, Finance, at (240) 386-6637 or by