TRACE Data Delivery Plus Fee
FINRA assesses the TRACE 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
ADF Data Delivery Plus
Firms that subscribe to ADF Data Delivery Plus pay a monthly fee for each MPID enrolled in the optional service. The monthly charge is based on the number of Plus reports the firm received during that month:
0 – 5 Plus Reports Received
6 – 25 Plus Reports Received
> 25 Plus Reports Received
$60
$80
$100
ADF Data Delivery SFTP
Firms that subscribe
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 Revises the Series 24 and 23 Examination Programs
WASHINGTON — Fifty military spouses throughout the United States and overseas have been awarded the FINRA Investor Education Foundation's 2014 Military Spouse Fellowship. The FINRA Foundation fellowship provides spouses with the training necessary to earn the AFC® (Accredited Financial Counselor) designation. This accreditation will provide these military spouses with marketable job skills
FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer”
ORF Migration Industry Call
The following links should be helpful when filing online for your firm and associated individuals:
CRD System and Related Links
Electronic Fingerprint Processing
Electronic Fingerprint Submission (EFS)
Filing Guidance Related to Registration Forms
Current Uniform Registration Forms for Electronic Filing in CRD (U4, U5, U6, BR, BD, and BDW)
Investment Adviser Representative (RA) Form Filing
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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.
Before applying to become a funding
