N.Y. Comp. Codes R. & Regs. tit. 13 § 10.7

Current through Register Vol. 46, No. 50, December 11, 2024

Section 10.7 - Annual renewal for FINRA member broker-dealers

(a) An initial single renewal invoice f or the renewal of broker-dealer and salesperson's registrations will be sent by the CRD system to each firm before the end of each year.

(b) Each broker-dealer shall pay the invoice amount, pursuant to the fee schedule set forth in this Part, directly to FINRA before the payment date indicated on the renewal invoice.

N.Y. Comp. Codes R. & Regs. Tit. 13§ 10.7

Amended New York State Register July 3, 2018/Volume XL, Issue 27, eff. 7/3/2018

Amended New York State Register December 2, 2020/Volume XLII, Issue 48, eff. 12/2/2020