November 27, 2014
November 26, 2014
November 25, 2014
FINRA (Financial Industry Regulatory Authority) Changes Membership Application Fees
The Financial Industry Regulatory Authority announced that it will waive continuing membership application (CMA) fees when a CMA proposes minor changes that do not require substantial review by FINRA staff, such as certain changes in ownership, control or business operations. In addition, FINRA will refund application fees for new or continuing membership applications that are withdrawn within 30 days of filing. The application fee refunds are subject to a $500 processing fee.
More information is available here.