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  • 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.