N.Y. Comp. Codes R. & Regs. tit. 13, § 10.7 – Annual renewal for FINRA member broker-dealers. | Midpage
§ 10.7
N.Y. Comp. Codes R. & Regs. tit. 13, § 10.7
Annual renewal for FINRA member broker-dealers.
Department of Law
(a) An initial single renewal invoice for 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 the FINRA before the payment date indicated on the renewal invoice.