FINRA Manual: Contents
FINRA ManualConnected by Complinet
By-Laws of the Corporation
Schedule A to the By-Laws of the Corporation
Section 9 — Subscription Charges for Registration Batch Filing/Data Download Via the Web CRD Electronic File Transfer (EFT) System
|View Whole Section||Text only||Print Manager||Link|
Section 3 — Regulatory Transaction Fee
Each member shall be assessed a regulatory transaction fee. The amount shall be determined periodically in accordance with Section 31 of the Act. Transactions assessable under this Section 3 that must be reported to FINRA shall be reported in an automated manner.
Amended by SR-FINRA-2008-001 eff. Jan. 1, 2008.
Amended by SR-NASD-2006-055 eff. Dec. 1, 2006.
Amended by SR-NASD-2004-129 eff. Aug. 20, 2004.
Amended by SR-NASD-2002-182 eff. Dec. 24, 2002.
Amended by SR-NASD-2002-98 eff. July 24, 2002.
Adopted by SR-NASD-96-57 eff. Jan. 2, 1997.
Selected Notices: 04-63, 06-39.