January 23, 2022

Volume XII, Number 23

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January 21, 2022

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January 20, 2022

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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 In addition, FINRA will refund application fees for new or continuing membership applications that are withdrawn within 30 days of filing.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.

©2022 Katten Muchin Rosenman LLPNational Law Review, Volume III, Number 76
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About this Author

James M. Brady, Katten Muchin Law Firm, Finance Attorney
Associate

James Brady concentrates his practice in financial services matters.

While in law school, James was an editor of the Michigan Journal of International Law. He also served as a judicial intern to the Honorable Stephen J. Markman of the Michigan Supreme Court. http://www.kattenlaw.com/James-Brady

312-902-5362
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