New York Codes, Rules and Regulations
Title 13 - DEPARTMENT OF LAW
Chapter II - SECURITIES TRANSACTIONS AND PERSONNEL
Subchapter A - SECURITIES-GENERAL
Part 10 - BROKERS, DEALERS AND SALESPERSONS
Section 10.7 - Annual renewal for FINRA member broker-dealers
Universal Citation: 13 NY Comp Codes Rules and Regs ยง 10.7
Current through Register Vol. 46, No. 12, March 20, 2024
(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.
Disclaimer: These regulations may not be the most recent version. New York may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
