Changes to Advertising, Corporate Financing, New Membership and Continuing Membership Application, Central Registration Depository and Branch Office Annual Registration Fees (FINRA Regulatory Notice)

FINRA Reg. Notice 12-32

Effective July 2, 2012, FINRA is increasing fees for (1) reviewing advertising material filed with FINRA and (2) filing offering documents pursuant to FINRA Rule 5110. Effective July 23, 2012, FINRA is increasing its new member application filing fee and imposing a new continuing membership application filing fee. Effective January 2, 2013, FINRA is changing fees relating to (1) the Central Registration Depository (CRD), including fees for initial/transfer registration, disclosure filing, system processing, fingerprint processing, mass transfer registration and late disclosure; and (2) branch office annual registration and related waiver process.

Effective Dates:

• July 2, 2012: Advertising and Corporate Financing fees
• July 23, 2012: New Membership and Continuing Membership Application fees
• January 2, 2013: Central Registration Depository fees and Branch Office Annual Registration fees and related waiver process

Cross References: SEC Release No. 34-67239 (June 22, 2012) (Notice of Filing and Immediate Effectiveness of File No. SR-FINRA-2012-028); SEC Release No. 34-67241 (June 22, 2012) (Notice of Filing and Immediate Effectiveness of File No. SR-FINRA-2012-029); SEC Release No. 34-67240 (June 22, 2012) (Notice of Filing and Immediate Effectiveness of File No. SR-FINRA-2012-031); SEC Release No. 34-67247 (June 22, 2012) (Notice of Filing and Immediate Effectiveness of SR-FINRA-2012-030); FINRA Rules 2210, 2310, 5110 and 5121; NASD Rules 1012, 1013, 1017and 2210; Sections 4, 6, 7 and 13 of Schedule A to the FINRA By-Laws; Forms U-4, U-5 and BD; FINRA Regulatory Notices 12-22 and 12-29.