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Personnel Assessment and Gross Income Assessment

April 1, 2017

The Personnel Assessment and Gross Income Assessment (“GIA”) is designed to stabilize revenues used to support FINRA’s regulatory activities. The GIA is based on a member firm’s gross revenues and has a 7 tiered structure with a minimum of $1,200. The Personnel Assessment (“PA”) is based upon a three tiered rate structure: firms with 1 – 5 registered representatives and principals are assessed $75 each; 6-25 registered persons $70 each and over 26 $65 each.

http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p120008.pdf

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April 1, 2017
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