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Section 13 — Review Charge for Advertisement, Sales Literature, and Other Such Material Filed or Submitted

Past version: effective from Jan 1 2008 - Jul 1 2012.
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There shall be a review charge for each and every item of advertisement, sales literature, and other such material, whether in printed, video or other form, filed with or submitted to FINRA, except for items that are filed or submitted in response to a written request from FINRA's Advertising Regulation Department issued pursuant to the spot check procedures set forth in FINRA's Rules as follows: (1) for printed material reviewed, $100.00, plus $10.00 for each page reviewed in excess of 10 pages; and (2) for video or audio media, $100.00, plus $10.00 per minute for each minute of tape reviewed in excess of 10 minutes.
Where a member requests expedited review of material submitted to the Advertising Regulation Department there shall be a review charge of $500.00 per item plus $25 for each page reviewed in excess of 10 pages. Expedited review shall be completed within three business days, not including the date the item is received by the Advertising Regulation Department, unless a shorter or longer period is agreed to by the Advertising Regulation Department. The Advertising Regulation Department may, in its sole discretion, refuse requests for expedited review.
Amended by SR-FINRA-2008-001 eff. Jan. 1, 2008.
Amended by SR-NASD-2004-179 eff. Dec. 8, 2004.
Amended by SR-NASD-2002-99 eff. Dec. 30, 2002.
Amended by SR-NASD-2002-182 eff. Dec. 24, 2002.
Amended by SR-NASD-2002-98 eff. July 24, 2002.
Amended by SR-NASD-98-82 eff. Jan. 1, 1999.
Amended by SR-NASD-94-21 eff. May 1, 1994.
Amended by SR-NASD-89-37 eff. Sept. 7, 1989; Jan. 25, 1991.
Adopted by SR-NASD-88-2 eff. Feb. 22, 1988.

Selected Notices: 88-14, 91-13, 94-27, 98-97.

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