FINRA Annual Assessment Invoice Due

FINRA member firms are assessed annual fees for membership, registered personnel, branch offices and gross income (as reported on their Focus Reports). The assessment fees are based on the number of registrants or offices for the firm. Assessment fees for securities related transactions are determined from the information provided by each member in their Focus filings. FINRA performs the annual assessment process for membership and gross income based on its fiscal year, which begins on January 1^st and concludes on December 31^st of each year. FINRA member firms are invoiced in April of each year.