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Comment Deadline Set for FINRA-Proposed Fee for New Municipal Advisor Principal Exam

A FINRA proposal to establish fees for the new Municipal Advisor Principal Examination (a/k/a the Series 54 exam) was published in the Federal Register. Comments on the proposal must be received by October 26, 2021.

As previously covered, under the proposed amendment to Section 4(c) of Schedule A to FINRA By-Laws of the Corporation ("Fees"), FINRA would establish a $115 fee to account for examination, administration and delivery expenses.

Primary Sources

  1. Federal Register: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish an Administration and Delivery Fee for the Municipal Advisor Principal Exam

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Regulated Activities
Employee Matters Regulatory Fees
Sub-Activity
Qualifications
Regulated Entities
Regulatory Agencies
Sub-Entity
Securities SROs
Regulated Products
Municipal Securities
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA