17 Jun 2025
📈FINRA Modifies Implementation Schedule of Securities Fees
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Implementation Schedule of Amendments to Section 7 of Schedule A to the FINRA By-Laws Adopted in SR-FINRA-2024-019
Summary
The SEC published a notice regarding FINRA's proposed rule change to modify the implementation schedule for fees associated with filing documents under the securities offering rules. This adjustment aims to provide member firms and issuers additional time for budgeting and operational changes related to new fees for private placements and public offering reviews.
Agencies
- Securities and Exchange Commission
Business Impact
$$ - Med
The document outlines a modification of the fee schedule imposed by FINRA, which impacts how member firms and issuers will budget for Corporate Financing fees for public and private offerings. This will affect operational planning and financial forecasting for businesses involved in securities transactions.