Oil and Gas Issuer-Dealer Renewal Instructions [Please contact the Division.] Contact FINRA at 301-590-6500. SIPC Net Operating Revenues of a predecessor member To report on abuse or fraud in the industry, FinPro (The Financial Professional Gateway), Securities Industry Essentials Exam (SIE), Financial Industry Networking Directory (FIND). Filing Fees for Claims Filed by Customers, Associated Persons, and Other Non-Members FINRA IS A REGISTERED TRADEMARK OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. FINRA operates the largest securities dispute resolution forum in the United States, Report a concern about FINRA at 888-700-0028. Filing Exemption . Note: If a firm submits a payment without an invoice number, FINRA will apply the funds to the firm's FINRA Flex-Funding account, which is accessible via E-Bill. After submitting the form, please call 1-888-728-3136 to give a Wire Transfer Specialist your verbal authorization. SEC Rule 15c2-11 allows broker dealers to initiate or resume trading quotes on Over-the-Counter ("OTC") securities not listed on the NYSE or NASDAQ by filing Form 211 to the FINRA OTC Compliance Unit. To mail a check to FINRA, include the invoice number on the check and mail the payment to: To ensure your firm's payments are applied to the correct invoice in a timely manner, firms must include invoice numbers in the reference number on ACH and wire payments. She allegedly neglected to confirm the request with the customer by telephone. Someone at your firm must then transfer the funds to the appropriate invoice in order for the invoice to be closed. Wire Transfers received and veri ¹ed after 3 p.m. This option is available in E-Bill only during the annual Renewal Period. To remit a filing fee payment by check (certified or bank cashier's check) or money order (United States postal or bank money order), you must make it payable to the Securities and Exchange Commission, omitting the name or title of any official of the Commission. When filing a confidential registration and the total Firms may transfer funds via ACH or wire into their account: To transfer funds between affiliated firms, use the E-Bill. Someone at your firm must then transfer the funds to the appropriate invoice in order for the invoice to be closed. FINRA IS A REGISTERED TRADEMARK OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. FINRA operates the largest securities dispute resolution forum in the United States, Report a concern about FINRA at 888-700-0028. ET on a business day are processed on the same business day. NOTE: Wire Transfers received and veri ¹ed before 3 p.m. Filing fees are required for filings made pursuant to: Sections 6(b) of the Securities Act of 1933; Sections 13(e) and 14(g) of the Securities Exchange Act of 1934 E-Bill is an online application that enables a firm to authorize electronic payment directly from its designated bank account to the firm's FINRA Flex-Funding Account. If a subsidiary was required to file a Rule 17a-5 annual audited statement of income separately and is also a SIPC member, then such subsidiary must itself file SIPC-7, pay the assessment, and should not be consolidated in your SIPC-7. In these instances, please use the following Company IDs: 1222528267, 1222528268 or 1222528269. FINRA provides several options for firms to pay these fees. E-Bill allows entitled users to view and add funds to their firm’s FINRA Flex-Funding Account through the Firm Gateway. (2) Instructions for payment of fees by check or money order. Offerings by seasoned issuers are exempt from FINRA filing requirements. Please note that while wire transfers are received by FINRA on the same day they are initiated, ACH bank transfers typically take several days longer to be received by FINRA. FINRA is a “self-regulatory organization,” within the meaning of the 1934 Act, and subject to the SEC’s oversight FINRA can make and enforce rules -- pursue fines against member firms and their employees. Allow two weeks for the FINRA to process your completed forms. On the front of the check or money order, you must include the Commission's … File a complaint about fraud or unfair practices. Under Apply for a License/Registration, select the license you wish to apply for/notice-file with the firm, follow the module instructions, fill out all the requested fields and upload the appropriate document(s). Fees paid by EWT will be deposited to the Treasury's account at the. You will need this if you choose to call your bank later to confirm the transfer. Paying by Electronic Wire Transfer. FILING FEE FEDWIRE PAYMENT TEMPLATE Person of Contact * Phone Number * Email * CIK * Company Name * Address *. When an Annual Report is filed by a member through the FINRA Firm Gateway on or after 9/1/17, this will also constitute filing with SIPC. If you have any questions, please contact the FINRA Accounts Receivable Department at (240) 386-5910. Effective July 2, 2012, FINRA increased the filing fees for filing offering documents pursuant to the Corporate Financing Rule from .01 percent to 0.015 percent of the proposed maximum aggregate offering price, plus $500, and increased the maximum filing fee cap from $75,500 to $225,500. As a more extreme sanction, FINRA may also exclude firms or employees from the industry. Use the following information to make payments to FINRA. instructions on how to make an electronic filing on IARD instructions on how to pay fees collected by IARD. 15c2-11 Submissions. For same day service on non-third party wires, requests must be received by Hilltop Securities Inc. FINRA Rule 2241(a)(11)(A) (list of research‐ related communications that do not fall within the definition of “research report” under FINRA Rule 2241); and Other research that does not meet the definition of “research report” under FINRA Rule 2241(a)(11),2 provided that the To be `` high level '' functional overviews of IARD to assist users in navigating the system! The appropriate invoice in order for the invoice to be closed give wire. Are considered integral part of this report and are considered integral part of this report be net of service... Payments finra filing fee wire instructions not currently supported for Funding the Flex-Funding Account through wire transfer supported Funding! 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