CINXE.COM

<!DOCTYPE html> <html lang="en" dir="ltr" prefix="og: https://ogp.me/ns#"> <head> <script type="text/javascript" src="https://try.abtasty.com/1815f4bcb7f984090f9f3450ffb107c9.js"></script>  <script>(function(w,d,s,l,i){w[l]=w[l]||[];w[l].push({'gtm.start': new Date().getTime(),event:'gtm.js'});var f=d.getElementsByTagName(s)[0], j=d.createElement(s),dl=l!='dataLayer'?'&l='+l:'';j.async=true;j.src= 'https://www.googletagmanager.com/gtm.js?id='+i+dl;f.parentNode.insertBefore(j,f); })(window,document,'script','dataLayer','GTM-PX5XDBN');</script>  <script defer src="//cdn.jsdelivr.net/bluebird/3.5.0/bluebird.min.js"></script> <script defer src="https://cdnjs.cloudflare.com/ajax/libs/fetch/2.0.3/fetch.js"></script> <meta charset="utf-8" /> <meta name="description" content="FINRA assesses and collects regulatory fees that fund FINRA鈥檚 regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides." /> <link rel="canonical" href="https://www.finra.org/registration-exams-ce/regulatory-fees-and-payment-options" /> <link rel="image_src" href="https://www.finra.org/sites/default/files/2023-12/finra-logo.png" /> <meta name="google" content="p6aFpyERRdC4Ror_K0mTRRtXKjAsz35RTQl_MDv_nNg" /> <meta property="og:title" content="Regulatory Fees and Payment Options" /> <meta property="og:description" content="FINRA assesses and collects regulatory fees that fund FINRA鈥檚 regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides." /> <meta property="og:image" content="https://www.finra.org/sites/default/files/2023-12/finra-logo.png" /> <meta name="Generator" content="Drupal 10 (https://www.drupal.org)" /> <meta name="MobileOptimized" content="width" /> <meta name="HandheldFriendly" content="true" /> <meta name="viewport" content="width=device-width, initial-scale=1, shrink-to-fit=no" /> <meta http-equiv="x-ua-compatible" content="ie=edge" /><script type="text/javascript">(window.NREUM||(NREUM={})).init={ajax:{deny_list:["bam.nr-data.net"]}};(window.NREUM||(NREUM={})).loader_config={licenseKey:"d7b664b4b4",applicationID:"486102969"};;/*! For license information please see nr-loader-rum-1.274.0.min.js.LICENSE.txt */ (()=>{var e,t,r={8122:(e,t,r)=>{"use strict";r.d(t,{a:()=>i});var n=r(944);function i(e,t){try{if(!e||"object"!=typeof e)return(0,n.R)(3);if(!t||"object"!=typeof t)return(0,n.R)(4);const r=Object.create(Object.getPrototypeOf(t),Object.getOwnPropertyDescriptors(t)),o=0===Object.keys(r).length?e:r;for(let a in o)if(void 0!==e[a])try{if(null===e[a]){r[a]=null;continue}Array.isArray(e[a])&&Array.isArray(t[a])?r[a]=Array.from(new Set([...e[a],...t[a]])):"object"==typeof e[a]&&"object"==typeof t[a]?r[a]=i(e[a],t[a]):r[a]=e[a]}catch(e){(0,n.R)(1,e)}return r}catch(e){(0,n.R)(2,e)}}},2555:(e,t,r)=>{"use strict";r.d(t,{Vp:()=>c,fn:()=>s,x1:()=>u});var n=r(384),i=r(8122);const o={beacon:n.NT.beacon,errorBeacon:n.NT.errorBeacon,licenseKey:void 0,applicationID:void 0,sa:void 0,queueTime:void 0,applicationTime:void 0,ttGuid:void 0,user:void 0,account:void 0,product:void 0,extra:void 0,jsAttributes:{},userAttributes:void 0,atts:void 0,transactionName:void 0,tNamePlain:void 0},a={};function s(e){try{const t=c(e);return!!t.licenseKey&&!!t.errorBeacon&&!!t.applicationID}catch(e){return!1}}function c(e){if(!e)throw new Error("All info objects require an agent identifier!");if(!a[e])throw new Error("Info for ".concat(e," was never set"));return a[e]}function u(e,t){if(!e)throw new Error("All info objects require an agent identifier!");a[e]=(0,i.a)(t,o);const r=(0,n.nY)(e);r&&(r.info=a[e])}},9417:(e,t,r)=>{"use strict";r.d(t,{D0:()=>g,gD:()=>h,xN:()=>p});var n=r(993);const i=e=>{if(!e||"string"!=typeof e)return!1;try{document.createDocumentFragment().querySelector(e)}catch{return!1}return!0};var o=r(2614),a=r(944),s=r(384),c=r(8122);const u="[data-nr-mask]",d=()=>{const e={mask_selector:"*",block_selector:"[data-nr-block]",mask_input_options:{color:!1,date:!1,"datetime-local":!1,email:!1,month:!1,number:!1,range:!1,search:!1,tel:!1,text:!1,time:!1,url:!1,week:!1,textarea:!1,select:!1,password:!0}};return{ajax:{deny_list:void 0,block_internal:!0,enabled:!0,harvestTimeSeconds:10,autoStart:!0},distributed_tracing:{enabled:void 0,exclude_newrelic_header:void 0,cors_use_newrelic_header:void 0,cors_use_tracecontext_headers:void 0,allowed_origins:void 0},feature_flags:[],generic_events:{enabled:!0,harvestTimeSeconds:30,autoStart:!0},harvest:{tooManyRequestsDelay:60},jserrors:{enabled:!0,harvestTimeSeconds:10,autoStart:!0},logging:{enabled:!0,harvestTimeSeconds:10,autoStart:!0,level:n.p_.INFO},metrics:{enabled:!0,autoStart:!0},obfuscate:void 0,page_action:{enabled:!0},page_view_event:{enabled:!0,autoStart:!0},page_view_timing:{enabled:!0,harvestTimeSeconds:30,autoStart:!0},performance:{capture_marks:!1,capture_measures:!1},privacy:{cookies_enabled:!0},proxy:{assets:void 0,beacon:void 0},session:{expiresMs:o.wk,inactiveMs:o.BB},session_replay:{autoStart:!0,enabled:!1,harvestTimeSeconds:60,preload:!1,sampling_rate:10,error_sampling_rate:100,collect_fonts:!1,inline_images:!1,fix_stylesheets:!0,mask_all_inputs:!0,get mask_text_selector(){return e.mask_selector},set mask_text_selector(t){i(t)?e.mask_selector="".concat(t,",").concat(u):""===t||null===t?e.mask_selector=u:(0,a.R)(5,t)},get block_class(){return"nr-block"},get ignore_class(){return"nr-ignore"},get mask_text_class(){return"nr-mask"},get block_selector(){return e.block_selector},set block_selector(t){i(t)?e.block_selector+=",".concat(t):""!==t&&(0,a.R)(6,t)},get mask_input_options(){return e.mask_input_options},set mask_input_options(t){t&&"object"==typeof t?e.mask_input_options={...t,password:!0}:(0,a.R)(7,t)}},session_trace:{enabled:!0,harvestTimeSeconds:10,autoStart:!0},soft_navigations:{enabled:!0,harvestTimeSeconds:10,autoStart:!0},spa:{enabled:!0,harvestTimeSeconds:10,autoStart:!0},ssl:void 0,user_actions:{enabled:!0}}},l={},f="All configuration objects require an agent identifier!";function g(e){if(!e)throw new Error(f);if(!l[e])throw new Error("Configuration for ".concat(e," was never set"));return l[e]}function p(e,t){if(!e)throw new Error(f);l[e]=(0,c.a)(t,d());const r=(0,s.nY)(e);r&&(r.init=l[e])}function h(e,t){if(!e)throw new Error(f);var r=g(e);if(r){for(var n=t.split("."),i=0;i<n.length-1;i++)if("object"!=typeof(r=r[n[i]]))return;r=r[n[n.length-1]]}return r}},3371:(e,t,r)=>{"use strict";r.d(t,{V:()=>f,f:()=>l});var n=r(8122),i=r(384),o=r(6154),a=r(9324);let s=0;const c={buildEnv:a.F3,distMethod:a.Xs,version:a.xv,originTime:o.WN},u={customTransaction:void 0,disabled:!1,isolatedBacklog:!1,loaderType:void 0,maxBytes:3e4,onerror:void 0,ptid:void 0,releaseIds:{},appMetadata:{},session:void 0,denyList:void 0,timeKeeper:void 0,obfuscator:void 0},d={};function l(e){if(!e)throw new Error("All runtime objects require an agent identifier!");if(!d[e])throw new Error("Runtime for ".concat(e," was never set"));return d[e]}function f(e,t){if(!e)throw new Error("All runtime objects require an agent identifier!");d[e]={...(0,n.a)(t,u),...c},Object.hasOwnProperty.call(d[e],"harvestCount")||Object.defineProperty(d[e],"harvestCount",{get:()=>++s});const r=(0,i.nY)(e);r&&(r.runtime=d[e])}},9324:(e,t,r)=>{"use strict";r.d(t,{F3:()=>i,Xs:()=>o,xv:()=>n});const n="1.274.0",i="PROD",o="CDN"},6154:(e,t,r)=>{"use strict";r.d(t,{OF:()=>c,RI:()=>i,WN:()=>d,bv:()=>o,gm:()=>a,mw:()=>s,sb:()=>u});var n=r(1863);const i="undefined"!=typeof window&&!!window.document,o="undefined"!=typeof WorkerGlobalScope&&("undefined"!=typeof self&&self instanceof WorkerGlobalScope&&self.navigator instanceof WorkerNavigator||"undefined"!=typeof globalThis&&globalThis instanceof WorkerGlobalScope&&globalThis.navigator instanceof WorkerNavigator),a=i?window:"undefined"!=typeof WorkerGlobalScope&&("undefined"!=typeof self&&self instanceof WorkerGlobalScope&&self||"undefined"!=typeof globalThis&&globalThis instanceof WorkerGlobalScope&&globalThis),s=Boolean("hidden"===a?.document?.visibilityState),c=/iPad|iPhone|iPod/.test(a.navigator?.userAgent),u=c&&"undefined"==typeof SharedWorker,d=((()=>{const e=a.navigator?.userAgent?.match(/Firefox[/\s](\d+\.\d+)/);Array.isArray(e)&&e.length>=2&&e[1]})(),Date.now()-(0,n.t)())},1687:(e,t,r)=>{"use strict";r.d(t,{Ak:()=>c,Ze:()=>l,x3:()=>u});var n=r(7836),i=r(3606),o=r(860),a=r(2646);const s={};function c(e,t){const r={staged:!1,priority:o.P3[t]||0};d(e),s[e].get(t)||s[e].set(t,r)}function u(e,t){e&&s[e]&&(s[e].get(t)&&s[e].delete(t),g(e,t,!1),s[e].size&&f(e))}function d(e){if(!e)throw new Error("agentIdentifier required");s[e]||(s[e]=new Map)}function l(e="",t="feature",r=!1){if(d(e),!e||!s[e].get(t)||r)return g(e,t);s[e].get(t).staged=!0,f(e)}function f(e){const t=Array.from(s[e]);t.every((([e,t])=>t.staged))&&(t.sort(((e,t)=>e[1].priority-t[1].priority)),t.forEach((([t])=>{s[e].delete(t),g(e,t)})))}function g(e,t,r=!0){const o=e?n.ee.get(e):n.ee,s=i.i.handlers;if(!o.aborted&&o.backlog&&s){if(r){const e=o.backlog[t],r=s[t];if(r){for(let t=0;e&&t<e.length;++t)p(e[t],r);Object.entries(r).forEach((([e,t])=>{Object.values(t||{}).forEach((t=>{t[0]?.on&&t[0]?.context()instanceof a.y&&t[0].on(e,t[1])}))}))}}o.isolatedBacklog||delete s[t],o.backlog[t]=null,o.emit("drain-"+t,[])}}function p(e,t){var r=e[1];Object.values(t[r]||{}).forEach((t=>{var r=e[0];if(t[0]===r){var n=t[1],i=e[3],o=e[2];n.apply(i,o)}}))}},7836:(e,t,r)=>{"use strict";r.d(t,{P:()=>c,ee:()=>u});var n=r(384),i=r(8990),o=r(3371),a=r(2646),s=r(5607);const c="nr@context:".concat(s.W),u=function e(t,r){var n={},s={},d={},l=!1;try{l=16===r.length&&(0,o.f)(r).isolatedBacklog}catch(e){}var f={on:p,addEventListener:p,removeEventListener:function(e,t){var r=n[e];if(!r)return;for(var i=0;i<r.length;i++)r[i]===t&&r.splice(i,1)},emit:function(e,r,n,i,o){!1!==o&&(o=!0);if(u.aborted&&!i)return;t&&o&&t.emit(e,r,n);for(var a=g(n),c=h(e),d=c.length,l=0;l<d;l++)c[l].apply(a,r);var p=m()[s[e]];p&&p.push([f,e,r,a]);return a},get:v,listeners:h,context:g,buffer:function(e,t){const r=m();if(t=t||"feature",f.aborted)return;Object.entries(e||{}).forEach((([e,n])=>{s[n]=t,t in r||(r[t]=[])}))},abort:function(){f._aborted=!0,Object.keys(f.backlog).forEach((e=>{delete f.backlog[e]}))},isBuffering:function(e){return!!m()[s[e]]},debugId:r,backlog:l?{}:t&&"object"==typeof t.backlog?t.backlog:{},isolatedBacklog:l};return Object.defineProperty(f,"aborted",{get:()=>{let e=f._aborted||!1;return e||(t&&(e=t.aborted),e)}}),f;function g(e){return e&&e instanceof a.y?e:e?(0,i.I)(e,c,(()=>new a.y(c))):new a.y(c)}function p(e,t){n[e]=h(e).concat(t)}function h(e){return n[e]||[]}function v(t){return d[t]=d[t]||e(f,t)}function m(){return f.backlog}}(void 0,"globalEE"),d=(0,n.Zm)();d.ee||(d.ee=u)},2646:(e,t,r)=>{"use strict";r.d(t,{y:()=>n});class n{constructor(e){this.contextId=e}}},9908:(e,t,r)=>{"use strict";r.d(t,{d:()=>n,p:()=>i});var n=r(7836).ee.get("handle");function i(e,t,r,i,o){o?(o.buffer([e],i),o.emit(e,t,r)):(n.buffer([e],i),n.emit(e,t,r))}},3606:(e,t,r)=>{"use strict";r.d(t,{i:()=>o});var n=r(9908);o.on=a;var i=o.handlers={};function o(e,t,r,o){a(o||n.d,i,e,t,r)}function a(e,t,r,i,o){o||(o="feature"),e||(e=n.d);var a=t[o]=t[o]||{};(a[r]=a[r]||[]).push([e,i])}},3878:(e,t,r)=>{"use strict";function n(e,t){return{capture:e,passive:!1,signal:t}}function i(e,t,r=!1,i){window.addEventListener(e,t,n(r,i))}function o(e,t,r=!1,i){document.addEventListener(e,t,n(r,i))}r.d(t,{DD:()=>o,jT:()=>n,sp:()=>i})},5607:(e,t,r)=>{"use strict";r.d(t,{W:()=>n});const n=(0,r(9566).bz)()},9566:(e,t,r)=>{"use strict";r.d(t,{LA:()=>s,bz:()=>a});var n=r(6154);const i="xxxxxxxx-xxxx-4xxx-yxxx-xxxxxxxxxxxx";function o(e,t){return e?15&e[t]:16*Math.random()|0}function a(){const e=n.gm?.crypto||n.gm?.msCrypto;let t,r=0;return e&&e.getRandomValues&&(t=e.getRandomValues(new Uint8Array(30))),i.split("").map((e=>"x"===e?o(t,r++).toString(16):"y"===e?(3&o()|8).toString(16):e)).join("")}function s(e){const t=n.gm?.crypto||n.gm?.msCrypto;let r,i=0;t&&t.getRandomValues&&(r=t.getRandomValues(new Uint8Array(e)));const a=[];for(var s=0;s<e;s++)a.push(o(r,i++).toString(16));return a.join("")}},2614:(e,t,r)=>{"use strict";r.d(t,{BB:()=>a,H3:()=>n,g:()=>u,iL:()=>c,tS:()=>s,uh:()=>i,wk:()=>o});const n="NRBA",i="SESSION",o=144e5,a=18e5,s={STARTED:"session-started",PAUSE:"session-pause",RESET:"session-reset",RESUME:"session-resume",UPDATE:"session-update"},c={SAME_TAB:"same-tab",CROSS_TAB:"cross-tab"},u={OFF:0,FULL:1,ERROR:2}},1863:(e,t,r)=>{"use strict";function n(){return Math.floor(performance.now())}r.d(t,{t:()=>n})},944:(e,t,r)=>{"use strict";function n(e,t){"function"==typeof console.debug&&console.debug("New Relic Warning: https://github.com/newrelic/newrelic-browser-agent/blob/main/docs/warning-codes.md#".concat(e),t)}r.d(t,{R:()=>n})},5284:(e,t,r)=>{"use strict";r.d(t,{t:()=>c,B:()=>s});var n=r(7836),i=r(6154);const o="newrelic";const a=new Set,s={};function c(e,t){const r=n.ee.get(t);s[t]??={},e&&"object"==typeof e&&(a.has(t)||(r.emit("rumresp",[e]),s[t]=e,a.add(t),function(e={}){try{i.gm.dispatchEvent(new CustomEvent(o,{detail:e}))}catch(e){}}({loaded:!0})))}},8990:(e,t,r)=>{"use strict";r.d(t,{I:()=>i});var n=Object.prototype.hasOwnProperty;function i(e,t,r){if(n.call(e,t))return e[t];var i=r();if(Object.defineProperty&&Object.keys)try{return Object.defineProperty(e,t,{value:i,writable:!0,enumerable:!1}),i}catch(e){}return e[t]=i,i}},6389:(e,t,r)=>{"use strict";function n(e,t=500,r={}){const n=r?.leading||!1;let i;return(...r)=>{n&&void 0===i&&(e.apply(this,r),i=setTimeout((()=>{i=clearTimeout(i)}),t)),n||(clearTimeout(i),i=setTimeout((()=>{e.apply(this,r)}),t))}}function i(e){let t=!1;return(...r)=>{t||(t=!0,e.apply(this,r))}}r.d(t,{J:()=>i,s:()=>n})},5289:(e,t,r)=>{"use strict";r.d(t,{GG:()=>o,sB:()=>a});var n=r(3878);function i(){return"undefined"==typeof document||"complete"===document.readyState}function o(e,t){if(i())return e();(0,n.sp)("load",e,t)}function a(e){if(i())return e();(0,n.DD)("DOMContentLoaded",e)}},384:(e,t,r)=>{"use strict";r.d(t,{NT:()=>o,US:()=>d,Zm:()=>a,bQ:()=>c,dV:()=>s,nY:()=>u,pV:()=>l});var n=r(6154),i=r(1863);const o={beacon:"bam.nr-data.net",errorBeacon:"bam.nr-data.net"};function a(){return n.gm.NREUM||(n.gm.NREUM={}),void 0===n.gm.newrelic&&(n.gm.newrelic=n.gm.NREUM),n.gm.NREUM}function s(){let e=a();return e.o||(e.o={ST:n.gm.setTimeout,SI:n.gm.setImmediate,CT:n.gm.clearTimeout,XHR:n.gm.XMLHttpRequest,REQ:n.gm.Request,EV:n.gm.Event,PR:n.gm.Promise,MO:n.gm.MutationObserver,FETCH:n.gm.fetch,WS:n.gm.WebSocket}),e}function c(e,t){let r=a();r.initializedAgents??={},t.initializedAt={ms:(0,i.t)(),date:new Date},r.initializedAgents[e]=t}function u(e){let t=a();return t.initializedAgents?.[e]}function d(e,t){a()[e]=t}function l(){return function(){let e=a();const t=e.info||{};e.info={beacon:o.beacon,errorBeacon:o.errorBeacon,...t}}(),function(){let e=a();const t=e.init||{};e.init={...t}}(),s(),function(){let e=a();const t=e.loader_config||{};e.loader_config={...t}}(),a()}},2843:(e,t,r)=>{"use strict";r.d(t,{u:()=>i});var n=r(3878);function i(e,t=!1,r,i){(0,n.DD)("visibilitychange",(function(){if(t)return void("hidden"===document.visibilityState&&e());e(document.visibilityState)}),r,i)}},3434:(e,t,r)=>{"use strict";r.d(t,{YM:()=>c});var n=r(7836),i=r(5607);const o="nr@original:".concat(i.W);var a=Object.prototype.hasOwnProperty,s=!1;function c(e,t){return e||(e=n.ee),r.inPlace=function(e,t,n,i,o){n||(n="");const a="-"===n.charAt(0);for(let s=0;s<t.length;s++){const c=t[s],u=e[c];d(u)||(e[c]=r(u,a?c+n:n,i,c,o))}},r.flag=o,r;function r(t,r,n,s,c){return d(t)?t:(r||(r=""),nrWrapper[o]=t,function(e,t,r){if(Object.defineProperty&&Object.keys)try{return Object.keys(e).forEach((function(r){Object.defineProperty(t,r,{get:function(){return e[r]},set:function(t){return e[r]=t,t}})})),t}catch(e){u([e],r)}for(var n in e)a.call(e,n)&&(t[n]=e[n])}(t,nrWrapper,e),nrWrapper);function nrWrapper(){var o,a,d,l;try{a=this,o=[...arguments],d="function"==typeof n?n(o,a):n||{}}catch(t){u([t,"",[o,a,s],d],e)}i(r+"start",[o,a,s],d,c);try{return l=t.apply(a,o)}catch(e){throw i(r+"err",[o,a,e],d,c),e}finally{i(r+"end",[o,a,l],d,c)}}}function i(r,n,i,o){if(!s||t){var a=s;s=!0;try{e.emit(r,n,i,t,o)}catch(t){u([t,r,n,i],e)}s=a}}}function u(e,t){t||(t=n.ee);try{t.emit("internal-error",e)}catch(e){}}function d(e){return!(e&&"function"==typeof e&&e.apply&&!e[o])}},993:(e,t,r)=>{"use strict";r.d(t,{ET:()=>o,p_:()=>i});var n=r(860);const i={ERROR:"ERROR",WARN:"WARN",INFO:"INFO",DEBUG:"DEBUG",TRACE:"TRACE"},o="log";n.K7.logging},3969:(e,t,r)=>{"use strict";r.d(t,{TZ:()=>n,XG:()=>s,rs:()=>i,xV:()=>a,z_:()=>o});const n=r(860).K7.metrics,i="sm",o="cm",a="storeSupportabilityMetrics",s="storeEventMetrics"},6630:(e,t,r)=>{"use strict";r.d(t,{T:()=>n});const n=r(860).K7.pageViewEvent},782:(e,t,r)=>{"use strict";r.d(t,{T:()=>n});const n=r(860).K7.pageViewTiming},6344:(e,t,r)=>{"use strict";r.d(t,{G4:()=>i});var n=r(2614);r(860).K7.sessionReplay;const i={RECORD:"recordReplay",PAUSE:"pauseReplay",REPLAY_RUNNING:"replayRunning",ERROR_DURING_REPLAY:"errorDuringReplay"};n.g.ERROR,n.g.FULL,n.g.OFF},4234:(e,t,r)=>{"use strict";r.d(t,{W:()=>o});var n=r(7836),i=r(1687);class o{constructor(e,t){this.agentIdentifier=e,this.ee=n.ee.get(e),this.featureName=t,this.blocked=!1}deregisterDrain(){(0,i.x3)(this.agentIdentifier,this.featureName)}}},7603:(e,t,r)=>{"use strict";r.d(t,{j:()=>P});var n=r(860),i=r(2555),o=r(3371),a=r(9908),s=r(7836),c=r(1687),u=r(5289),d=r(6154),l=r(944),f=r(3969),g=r(384),p=r(6344);const h=["setErrorHandler","finished","addToTrace","addRelease","addPageAction","setCurrentRouteName","setPageViewName","setCustomAttribute","interaction","noticeError","setUserId","setApplicationVersion","start",p.G4.RECORD,p.G4.PAUSE,"log","wrapLogger"],v=["setErrorHandler","finished","addToTrace","addRelease"];var m=r(1863),b=r(2614),y=r(993);var w=r(2646),A=r(3434);function R(e,t,r,n){if("object"!=typeof t||!t||"string"!=typeof r||!r||"function"!=typeof t[r])return(0,l.R)(29);const i=function(e){return(e||s.ee).get("logger")}(e),o=(0,A.YM)(i),a=new w.y(s.P);return a.level=n.level,a.customAttributes=n.customAttributes,o.inPlace(t,[r],"wrap-logger-",a),i}function E(){const e=(0,g.pV)();h.forEach((t=>{e[t]=(...r)=>function(t,...r){let n=[];return Object.values(e.initializedAgents).forEach((e=>{e&&e.api?e.exposed&&e.api[t]&&n.push(e.api[t](...r)):(0,l.R)(38,t)})),n.length>1?n:n[0]}(t,...r)}))}const x={};function _(e,t,g=!1){t||(0,c.Ak)(e,"api");const h={};var w=s.ee.get(e),A=w.get("tracer");x[e]=b.g.OFF,w.on(p.G4.REPLAY_RUNNING,(t=>{x[e]=t}));var E="api-",_=E+"ixn-";function N(t,r,n,o){const a=(0,i.Vp)(e);return null===r?delete a.jsAttributes[t]:(0,i.x1)(e,{...a,jsAttributes:{...a.jsAttributes,[t]:r}}),j(E,n,!0,o||null===r?"session":void 0)(t,r)}function T(){}h.log=function(e,{customAttributes:t={},level:r=y.p_.INFO}={}){(0,a.p)(f.xV,["API/log/called"],void 0,n.K7.metrics,w),function(e,t,r={},i=y.p_.INFO){(0,a.p)(f.xV,["API/logging/".concat(i.toLowerCase(),"/called")],void 0,n.K7.metrics,e),(0,a.p)(y.ET,[(0,m.t)(),t,r,i],void 0,n.K7.logging,e)}(w,e,t,r)},h.wrapLogger=(e,t,{customAttributes:r={},level:i=y.p_.INFO}={})=>{(0,a.p)(f.xV,["API/wrapLogger/called"],void 0,n.K7.metrics,w),R(w,e,t,{customAttributes:r,level:i})},v.forEach((e=>{h[e]=j(E,e,!0,"api")})),h.addPageAction=j(E,"addPageAction",!0,n.K7.genericEvents),h.setPageViewName=function(t,r){if("string"==typeof t)return"/"!==t.charAt(0)&&(t="/"+t),(0,o.f)(e).customTransaction=(r||"http://custom.transaction")+t,j(E,"setPageViewName",!0)()},h.setCustomAttribute=function(e,t,r=!1){if("string"==typeof e){if(["string","number","boolean"].includes(typeof t)||null===t)return N(e,t,"setCustomAttribute",r);(0,l.R)(40,typeof t)}else(0,l.R)(39,typeof e)},h.setUserId=function(e){if("string"==typeof e||null===e)return N("enduser.id",e,"setUserId",!0);(0,l.R)(41,typeof e)},h.setApplicationVersion=function(e){if("string"==typeof e||null===e)return N("application.version",e,"setApplicationVersion",!1);(0,l.R)(42,typeof e)},h.start=()=>{try{(0,a.p)(f.xV,["API/start/called"],void 0,n.K7.metrics,w),w.emit("manual-start-all")}catch(e){(0,l.R)(23,e)}},h[p.G4.RECORD]=function(){(0,a.p)(f.xV,["API/recordReplay/called"],void 0,n.K7.metrics,w),(0,a.p)(p.G4.RECORD,[],void 0,n.K7.sessionReplay,w)},h[p.G4.PAUSE]=function(){(0,a.p)(f.xV,["API/pauseReplay/called"],void 0,n.K7.metrics,w),(0,a.p)(p.G4.PAUSE,[],void 0,n.K7.sessionReplay,w)},h.interaction=function(e){return(new T).get("object"==typeof e?e:{})};const S=T.prototype={createTracer:function(e,t){var r={},i=this,o="function"==typeof t;return(0,a.p)(f.xV,["API/createTracer/called"],void 0,n.K7.metrics,w),g||(0,a.p)(_+"tracer",[(0,m.t)(),e,r],i,n.K7.spa,w),function(){if(A.emit((o?"":"no-")+"fn-start",[(0,m.t)(),i,o],r),o)try{return t.apply(this,arguments)}catch(e){const t="string"==typeof e?new Error(e):e;throw A.emit("fn-err",[arguments,this,t],r),t}finally{A.emit("fn-end",[(0,m.t)()],r)}}}};function j(e,t,r,i){return function(){return(0,a.p)(f.xV,["API/"+t+"/called"],void 0,n.K7.metrics,w),i&&(0,a.p)(e+t,[(0,m.t)(),...arguments],r?null:this,i,w),r?void 0:this}}function k(){r.e(296).then(r.bind(r,8778)).then((({setAPI:t})=>{t(e),(0,c.Ze)(e,"api")})).catch((e=>{(0,l.R)(27,e),w.abort()}))}return["actionText","setName","setAttribute","save","ignore","onEnd","getContext","end","get"].forEach((e=>{S[e]=j(_,e,void 0,g?n.K7.softNav:n.K7.spa)})),h.setCurrentRouteName=g?j(_,"routeName",void 0,n.K7.softNav):j(E,"routeName",!0,n.K7.spa),h.noticeError=function(t,r){"string"==typeof t&&(t=new Error(t)),(0,a.p)(f.xV,["API/noticeError/called"],void 0,n.K7.metrics,w),(0,a.p)("err",[t,(0,m.t)(),!1,r,!!x[e]],void 0,n.K7.jserrors,w)},d.RI?(0,u.GG)((()=>k()),!0):k(),h}var N=r(9417),T=r(8122);const S={accountID:void 0,trustKey:void 0,agentID:void 0,licenseKey:void 0,applicationID:void 0,xpid:void 0},j={};var k=r(5284);const I=e=>{const t=e.startsWith("http");e+="/",r.p=t?e:"https://"+e};let O=!1;function P(e,t={},r,n){let{init:a,info:c,loader_config:u,runtime:l={},exposed:f=!0}=t;l.loaderType=r;const p=(0,g.pV)();c||(a=p.init,c=p.info,u=p.loader_config),(0,N.xN)(e.agentIdentifier,a||{}),function(e,t){if(!e)throw new Error("All loader-config objects require an agent identifier!");j[e]=(0,T.a)(t,S);const r=(0,g.nY)(e);r&&(r.loader_config=j[e])}(e.agentIdentifier,u||{}),c.jsAttributes??={},d.bv&&(c.jsAttributes.isWorker=!0),(0,i.x1)(e.agentIdentifier,c);const h=(0,N.D0)(e.agentIdentifier),v=[c.beacon,c.errorBeacon];O||(h.proxy.assets&&(I(h.proxy.assets),v.push(h.proxy.assets)),h.proxy.beacon&&v.push(h.proxy.beacon),E(),(0,g.US)("activatedFeatures",k.B),e.runSoftNavOverSpa&&=!0===h.soft_navigations.enabled&&h.feature_flags.includes("soft_nav")),l.denyList=[...h.ajax.deny_list||[],...h.ajax.block_internal?v:[]],l.ptid=e.agentIdentifier,(0,o.V)(e.agentIdentifier,l),e.ee=s.ee.get(e.agentIdentifier),void 0===e.api&&(e.api=_(e.agentIdentifier,n,e.runSoftNavOverSpa)),void 0===e.exposed&&(e.exposed=f),O=!0}},8374:(e,t,r)=>{r.nc=(()=>{try{return document?.currentScript?.nonce}catch(e){}return""})()},860:(e,t,r)=>{"use strict";r.d(t,{$J:()=>o,K7:()=>n,P3:()=>i});const n={ajax:"ajax",genericEvents:"generic_events",jserrors:"jserrors",logging:"logging",metrics:"metrics",pageAction:"page_action",pageViewEvent:"page_view_event",pageViewTiming:"page_view_timing",sessionReplay:"session_replay",sessionTrace:"session_trace",softNav:"soft_navigations",spa:"spa"},i={[n.pageViewEvent]:1,[n.pageViewTiming]:2,[n.metrics]:3,[n.jserrors]:4,[n.spa]:5,[n.ajax]:6,[n.sessionTrace]:7,[n.softNav]:8,[n.sessionReplay]:9,[n.logging]:10,[n.genericEvents]:11},o={[n.pageViewTiming]:"events",[n.ajax]:"events",[n.spa]:"events",[n.softNav]:"events",[n.metrics]:"jserrors",[n.jserrors]:"jserrors",[n.sessionTrace]:"browser/blobs",[n.sessionReplay]:"browser/blobs",[n.logging]:"browser/logs",[n.genericEvents]:"ins"}}},n={};function i(e){var t=n[e];if(void 0!==t)return t.exports;var o=n[e]={exports:{}};return r[e](o,o.exports,i),o.exports}i.m=r,i.d=(e,t)=>{for(var r in t)i.o(t,r)&&!i.o(e,r)&&Object.defineProperty(e,r,{enumerable:!0,get:t[r]})},i.f={},i.e=e=>Promise.all(Object.keys(i.f).reduce(((t,r)=>(i.f[r](e,t),t)),[])),i.u=e=>"nr-rum-1.274.0.min.js",i.o=(e,t)=>Object.prototype.hasOwnProperty.call(e,t),e={},t="NRBA-1.274.0.PROD:",i.l=(r,n,o,a)=>{if(e[r])e[r].push(n);else{var s,c;if(void 0!==o)for(var u=document.getElementsByTagName("script"),d=0;d<u.length;d++){var l=u[d];if(l.getAttribute("src")==r||l.getAttribute("data-webpack")==t+o){s=l;break}}if(!s){c=!0;var f={296:"sha512-gkYkZDAwQ9PwaDXs2YM+rNIdRej1Ac1mupWobRJ8eahQcXz6/sunGZCKklrzi5kWxhOGRZr2tn0rEKuLTXzfAA=="};(s=document.createElement("script")).charset="utf-8",s.timeout=120,i.nc&&s.setAttribute("nonce",i.nc),s.setAttribute("data-webpack",t+o),s.src=r,0!==s.src.indexOf(window.location.origin+"/")&&(s.crossOrigin="anonymous"),f[a]&&(s.integrity=f[a])}e[r]=[n];var g=(t,n)=>{s.onerror=s.onload=null,clearTimeout(p);var i=e[r];if(delete e[r],s.parentNode&&s.parentNode.removeChild(s),i&&i.forEach((e=>e(n))),t)return t(n)},p=setTimeout(g.bind(null,void 0,{type:"timeout",target:s}),12e4);s.onerror=g.bind(null,s.onerror),s.onload=g.bind(null,s.onload),c&&document.head.appendChild(s)}},i.r=e=>{"undefined"!=typeof Symbol&&Symbol.toStringTag&&Object.defineProperty(e,Symbol.toStringTag,{value:"Module"}),Object.defineProperty(e,"__esModule",{value:!0})},i.p="https://js-agent.newrelic.com/",(()=>{var e={840:0,374:0};i.f.j=(t,r)=>{var n=i.o(e,t)?e[t]:void 0;if(0!==n)if(n)r.push(n[2]);else{var o=new Promise(((r,i)=>n=e[t]=[r,i]));r.push(n[2]=o);var a=i.p+i.u(t),s=new Error;i.l(a,(r=>{if(i.o(e,t)&&(0!==(n=e[t])&&(e[t]=void 0),n)){var o=r&&("load"===r.type?"missing":r.type),a=r&&r.target&&r.target.src;s.message="Loading chunk "+t+" failed.\n("+o+": "+a+")",s.name="ChunkLoadError",s.type=o,s.request=a,n[1](s)}}),"chunk-"+t,t)}};var t=(t,r)=>{var n,o,[a,s,c]=r,u=0;if(a.some((t=>0!==e[t]))){for(n in s)i.o(s,n)&&(i.m[n]=s[n]);if(c)c(i)}for(t&&t(r);u<a.length;u++)o=a[u],i.o(e,o)&&e[o]&&e[o][0](),e[o]=0},r=self["webpackChunk:NRBA-1.274.0.PROD"]=self["webpackChunk:NRBA-1.274.0.PROD"]||[];r.forEach(t.bind(null,0)),r.push=t.bind(null,r.push.bind(r))})(),(()=>{"use strict";i(8374);var e=i(944),t=i(6344),r=i(9566);class n{agentIdentifier;constructor(e=(0,r.LA)(16)){this.agentIdentifier=e}#e(t,...r){if("function"==typeof this.api?.[t])return this.api[t](...r);(0,e.R)(35,t)}addPageAction(e,t){return this.#e("addPageAction",e,t)}setPageViewName(e,t){return this.#e("setPageViewName",e,t)}setCustomAttribute(e,t,r){return this.#e("setCustomAttribute",e,t,r)}noticeError(e,t){return this.#e("noticeError",e,t)}setUserId(e){return this.#e("setUserId",e)}setApplicationVersion(e){return this.#e("setApplicationVersion",e)}setErrorHandler(e){return this.#e("setErrorHandler",e)}addRelease(e,t){return this.#e("addRelease",e,t)}log(e,t){return this.#e("log",e,t)}}class o extends n{#e(t,...r){if("function"==typeof this.api?.[t])return this.api[t](...r);(0,e.R)(35,t)}start(){return this.#e("start")}finished(e){return this.#e("finished",e)}recordReplay(){return this.#e(t.G4.RECORD)}pauseReplay(){return this.#e(t.G4.PAUSE)}addToTrace(e){return this.#e("addToTrace",e)}setCurrentRouteName(e){return this.#e("setCurrentRouteName",e)}interaction(){return this.#e("interaction")}wrapLogger(e,t,r){return this.#e("wrapLogger",e,t,r)}}var a=i(860),s=i(9417);const c=Object.values(a.K7);function u(e){const t={};return c.forEach((r=>{t[r]=function(e,t){return!0===(0,s.gD)(t,"".concat(e,".enabled"))}(r,e)})),t}var d=i(7603);var l=i(1687),f=i(4234),g=i(5289),p=i(6154),h=i(384);const v=e=>p.RI&&!0===(0,s.gD)(e,"privacy.cookies_enabled");function m(e){return!!(0,h.dV)().o.MO&&v(e)&&!0===(0,s.gD)(e,"session_trace.enabled")}var b=i(6389);class y extends f.W{constructor(e,t,r=!0){super(e.agentIdentifier,t),this.auto=r,this.abortHandler=void 0,this.featAggregate=void 0,this.onAggregateImported=void 0,!1===e.init[this.featureName].autoStart&&(this.auto=!1),this.auto?(0,l.Ak)(e.agentIdentifier,t):this.ee.on("manual-start-all",(0,b.J)((()=>{(0,l.Ak)(e.agentIdentifier,this.featureName),this.auto=!0,this.importAggregator(e)})))}importAggregator(t,r={}){if(this.featAggregate||!this.auto)return;let n;this.onAggregateImported=new Promise((e=>{n=e}));const o=async()=>{let o;try{if(v(this.agentIdentifier)){const{setupAgentSession:e}=await i.e(296).then(i.bind(i,3861));o=e(t)}}catch(t){(0,e.R)(20,t),this.ee.emit("internal-error",[t]),this.featureName===a.K7.sessionReplay&&this.abortHandler?.()}try{if(t.sharedAggregator)await t.sharedAggregator;else{t.sharedAggregator=i.e(296).then(i.bind(i,9337));const{EventAggregator:e}=await t.sharedAggregator;t.sharedAggregator=new e}if(!this.#t(this.featureName,o))return(0,l.Ze)(this.agentIdentifier,this.featureName),void n(!1);const{lazyFeatureLoader:e}=await i.e(296).then(i.bind(i,6103)),{Aggregate:a}=await e(this.featureName,"aggregate");this.featAggregate=new a(t,r),n(!0)}catch(t){(0,e.R)(34,t),this.abortHandler?.(),(0,l.Ze)(this.agentIdentifier,this.featureName,!0),n(!1),this.ee&&this.ee.abort()}};p.RI?(0,g.GG)((()=>o()),!0):o()}#t(e,t){switch(e){case a.K7.sessionReplay:return m(this.agentIdentifier)&&!!t;case a.K7.sessionTrace:return!!t;default:return!0}}}var w=i(6630);class A extends y{static featureName=w.T;constructor(e,t=!0){super(e,w.T,t),this.importAggregator(e)}}var R=i(9908),E=i(2843),x=i(3878),_=i(782),N=i(1863);class T extends y{static featureName=_.T;constructor(e,t=!0){super(e,_.T,t),p.RI&&((0,E.u)((()=>(0,R.p)("docHidden",[(0,N.t)()],void 0,_.T,this.ee)),!0),(0,x.sp)("pagehide",(()=>(0,R.p)("winPagehide",[(0,N.t)()],void 0,_.T,this.ee))),this.importAggregator(e))}}var S=i(3969);class j extends y{static featureName=S.TZ;constructor(e,t=!0){super(e,S.TZ,t),this.importAggregator(e)}}new class extends o{constructor(t,r){super(r),p.gm?(this.features={},(0,h.bQ)(this.agentIdentifier,this),this.desiredFeatures=new Set(t.features||[]),this.desiredFeatures.add(A),this.runSoftNavOverSpa=[...this.desiredFeatures].some((e=>e.featureName===a.K7.softNav)),(0,d.j)(this,t,t.loaderType||"agent"),this.run()):(0,e.R)(21)}get config(){return{info:this.info,init:this.init,loader_config:this.loader_config,runtime:this.runtime}}run(){try{const t=u(this.agentIdentifier),r=[...this.desiredFeatures];r.sort(((e,t)=>a.P3[e.featureName]-a.P3[t.featureName])),r.forEach((r=>{if(!t[r.featureName]&&r.featureName!==a.K7.pageViewEvent)return;if(this.runSoftNavOverSpa&&r.featureName===a.K7.spa)return;if(!this.runSoftNavOverSpa&&r.featureName===a.K7.softNav)return;const n=function(e){switch(e){case a.K7.ajax:return[a.K7.jserrors];case a.K7.sessionTrace:return[a.K7.ajax,a.K7.pageViewEvent];case a.K7.sessionReplay:return[a.K7.sessionTrace];case a.K7.pageViewTiming:return[a.K7.pageViewEvent];default:return[]}}(r.featureName).filter((e=>!(e in this.features)));n.length>0&&(0,e.R)(36,{targetFeature:r.featureName,missingDependencies:n}),this.features[r.featureName]=new r(this)}))}catch(t){(0,e.R)(22,t);for(const e in this.features)this.features[e].abortHandler?.();const r=(0,h.Zm)();delete r.initializedAgents[this.agentIdentifier]?.api,delete r.initializedAgents[this.agentIdentifier]?.features,delete this.sharedAggregator;return r.ee.get(this.agentIdentifier).abort(),!1}}}({features:[A,T,j],loaderType:"lite"})})()})();</script> <link rel="icon" href="/themes/custom/finra_bootstrap_sass/favicon.ico" type="image/vnd.microsoft.icon" /> <script>window.a2a_config=window.a2a_config||{};a2a_config.callbacks=[];a2a_config.overlays=[];a2a_config.templates={};a2a_config.exclude_services = [ 'linkedin', 'facebook', 'twitter', 'email', 'amazon_wish_list', 'aol_mail', 'balatarin', 'bibsonomy', 'bitty_browser', 'blogger', 'blogmarks', 'bookmarks_fr', 'box_net', 'buffer', 'citeulike', 'copy_link', 'diary_ru', 'diaspora', 'digg', 'diigo', 'douban', 'draugiem', 'evernote', 'fark', 'flipboard', 'folkd', 'google_gmail', 'google_classroom', 'hacker_news', 'hatena', 'houzz', 'instapaper', 'known', 'line', 'livejournal', 'mail_ru', 'mendeley', 'meneame', 'mewe', 'mixi', 'myspace', 'odnoklassniki', 'outlook_com', 'papaly', 'pinboard', 'pinterest', 'plurk', 'pocket', 'print', 'printfriendly', 'pusha', 'kindle_it', 'qzone', 'rediff', 'refind', 'sina_weibo', 'sitejot', 'skype', 'slashdot', 'sms', 'snapchat', 'svejo', 'symbaloo_bookmarks', 'telegram', 'threema', 'trello', 'tumblr', 'twiddla', 'typepad_post', 'viber', 'vk', 'wechat', 'wordpress', 'wykop', 'xing', 'yahoo_mail', 'yummly' ];</script> <title>Regulatory Fees and Payment Options | FINRA.org</title> <link rel="stylesheet" media="all" href="/sites/default/files/css/css_vPFimb2Do7E48nX_w_CCmmJ1dWCwEKkHtaULW0UxlJs.css?delta=0&language=en&theme=finra_bootstrap_sass&include=eJyNUNFuxCAM-yFaPqkKENpokKAEdurfj5t0u0nrbXuJnNiKbGdihS2IdOsKbTMw81HkjXCJZS6UKUInYQcpdQE-_QOsWYW7y3PADU0q-m94vWG4r_anYLWDqrPTOlYfwNA9_QRQJfF7kQBlsX4W4t3lK9f_0UhDNmB78QGtg2ugsM_bYT7paFDW52Ud3EYoZAemny6DIqSoowZno6HmqfNfaDvkHZW44yztip-oidFn2S94VBvBrtiLzu5ptt8TQ2tLOhkqxUWxifZZ3Qevm9Wy" /> <link rel="stylesheet" media="all" href="https://use.fontawesome.com/releases/v5.7.2/css/all.css" /> <link rel="stylesheet" media="all" href="https://use.fontawesome.com/releases/v5.7.2/css/v4-shims.css" /> <link rel="stylesheet" media="all" href="/sites/default/files/css/css_Myp6O8L8NaBO00dMNrvdBnt0qQvCEky5k-zi-oRb4Io.css?delta=3&language=en&theme=finra_bootstrap_sass&include=eJyNUNFuxCAM-yFaPqkKENpokKAEdurfj5t0u0nrbXuJnNiKbGdihS2IdOsKbTMw81HkjXCJZS6UKUInYQcpdQE-_QOsWYW7y3PADU0q-m94vWG4r_anYLWDqrPTOlYfwNA9_QRQJfF7kQBlsX4W4t3lK9f_0UhDNmB78QGtg2ugsM_bYT7paFDW52Ud3EYoZAemny6DIqSoowZno6HmqfNfaDvkHZW44yztip-oidFn2S94VBvBrtiLzu5ptt8TQ2tLOhkqxUWxifZZ3Qevm9Wy" /> <link rel="stylesheet" media="all" href="/sites/default/files/css/css_4FlG3mvF_qSrdKztu7pFNjsfHYHRFraOARteqnfNvyE.css?delta=4&language=en&theme=finra_bootstrap_sass&include=eJyNUNFuxCAM-yFaPqkKENpokKAEdurfj5t0u0nrbXuJnNiKbGdihS2IdOsKbTMw81HkjXCJZS6UKUInYQcpdQE-_QOsWYW7y3PADU0q-m94vWG4r_anYLWDqrPTOlYfwNA9_QRQJfF7kQBlsX4W4t3lK9f_0UhDNmB78QGtg2ugsM_bYT7paFDW52Ud3EYoZAemny6DIqSoowZno6HmqfNfaDvkHZW44yztip-oidFn2S94VBvBrtiLzu5ptt8TQ2tLOhkqxUWxifZZ3Qevm9Wy" /> <link rel="stylesheet" media="all" href="//fonts.googleapis.com/css?family=Open+Sans" /> <link rel="stylesheet" media="all" href="//fonts.googleapis.com/css?family=Open+Sans:300,300i,400,400i,600,600i,700,700i,800,800i" /> <link rel="stylesheet" media="all" href="//use.typekit.net/nba4hvp.css" /> <link rel="stylesheet" media="all" href="/sites/default/files/css/css_kOVSrKsI0tVTTBq-iefInIqMdDDbu79EQa7Yz2isYRo.css?delta=8&language=en&theme=finra_bootstrap_sass&include=eJyNUNFuxCAM-yFaPqkKENpokKAEdurfj5t0u0nrbXuJnNiKbGdihS2IdOsKbTMw81HkjXCJZS6UKUInYQcpdQE-_QOsWYW7y3PADU0q-m94vWG4r_anYLWDqrPTOlYfwNA9_QRQJfF7kQBlsX4W4t3lK9f_0UhDNmB78QGtg2ugsM_bYT7paFDW52Ud3EYoZAemny6DIqSoowZno6HmqfNfaDvkHZW44yztip-oidFn2S94VBvBrtiLzu5ptt8TQ2tLOhkqxUWxifZZ3Qevm9Wy" /> </head> <body class="layout-two-sidebars page-node-9424">  <noscript><iframe src="https://www.googletagmanager.com/ns.html?id=GTM-PX5XDBN" height="0" width="0" style="display:none;visibility:hidden"></iframe></noscript>  <a href="#main-content" class="visually-hidden focusable"> Skip to main content </a> <div class="dialog-off-canvas-main-canvas" data-off-canvas-main-canvas> <div id="page-wrapper" class="page--type-article"> <div id="page"> <header id="Finra_homepage_header" class="header" role="banner" aria-label="Site header"> <div class="secondary-new-header"> <div class="secondary-header-row row"> <div class="secondary-menu" id = "desk_menu_sec"> <section class="region region-secondary-menu"> <nav role="navigation" aria-labelledby="block-finrautilitymenu-menu" id="block-finrautilitymenu" data-block-plugin-id="system_menu_block:finra-utility-menu" class="block block-menu navigation menu--finra-utility-menu"> <h2 class="sr-only visually-hidden" id="block-finrautilitymenu-menu">FINRA Utility Menu</h2> <ul id="block-finrautilitymenu" class="clearfix nav navbar-nav"> <li class="nav-item menu-item--collapsed"> <a href="/about" class="nav-link" aria-labelledby="About FINRA" data-drupal-link-system-path="node/135106">About FINRA</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/careers" class="nav-link" aria-labelledby="Careers" data-drupal-link-system-path="node/135166">Careers</a> </li> <li class="nav-item"> <a href="https://brokercheck.finra.org" class="nav-link" aria-labelledby="BrokerCheck">BrokerCheck</a> </li> <li class="nav-item"> <a href="/finra-data" class="nav-link" aria-labelledby="Data" data-drupal-link-system-path="node/180426">Data</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/media-center" class="nav-link" aria-labelledby="Media Center" data-drupal-link-system-path="node/340671">Media Center</a> </li> <li class="nav-item"> <a href="/member-firm-hub" class="nav-link" aria-labelledby="For Firms" data-drupal-link-system-path="node/342121">For Firms</a> </li> </ul> </nav> </section> </div> <div class="top-header-form"> <section class="region region-top-header-form"> <div id="block-finra-bootstrap-sass-loginoverlaynewhomepage-2" data-block-plugin-id="block_content:5f737dd3-a3ee-4d2a-b891-e115158ec6d9" class="block block-block-content block-block-content5f737dd3-a3ee-4d2a-b891-e115158ec6d9"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><div class="test" aria-controls="loginCollapse" aria-expanded="false" data-toggle="collapse" href="#loginCollapse" id="login-icon" role="button"><p><svg xmlns="http://www.w3.org/2000/svg" viewbox="0 0 448 512"><path fill="currentColor" d="M304 128a80 80 0 1 0 -160 0 80 80 0 1 0 160 0zM96 128a128 128 0 1 1 256 0A128 128 0 1 1 96 128zM49.3 464H398.7c-8.9-63.3-63.3-112-129-112H178.3c-65.7 0-120.1 48.7-129 112zM0 482.3C0 383.8 79.8 304 178.3 304h91.4C368.2 304 448 383.8 448 482.3c0 16.4-13.3 29.7-29.7 29.7H29.7C13.3 512 0 498.7 0 482.3z"></path></svg></p></div><div class="collapse" id="loginCollapse"><div class="login-responsive">聽</div><div class="login-row" layout="row"><div class="login-col" layout="col"><p class="login-subtitle"><span>For the Public</span></p><p class="login-title"><a href="https://ews.finra.org/auth/logon?realm=ews&goto=https%3A//gateway.finra.org/app/data%3FrcpRedirNum%3D1">FINRA DATA</a></p><p class="login-desc">FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.</p><div class="login-btn" style="padding:5px 0px 14px 0px;"><a href="https://ews.finra.org/auth/logon?realm=ews&goto=https%3A//gateway.finra.org/app/data%3FrcpRedirNum%3D1"><span>Login</span></a></div></div><div class="login-col" layout="col"><p class="login-subtitle"><span>For Industry Professionals</span></p><p class="login-title"><a href="https://finpro.finra.org/">FINPRO</a></p><p class="login-desc">Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.</p><div class="login-btn" style="padding:5px 0px 14px 0px;"><a href="https://finpro.finra.org/"><span>Login</span></a></div></div><div class="login-col" layout="col"><p class="login-subtitle"><span>For Member Firms</span></p><p class="login-title"><a href="https://gateway.finra.org/">FINRA GATEWAY</a></p><p class="login-desc">Firm compliance professionals can access filings and requests, run reports and submit support tickets.</p><div class="login-btn" style="padding:5px 0px 14px 0px;"><a href="https://gateway.finra.org/"><span>Login</span></a></div></div><div class="login-col" layout="col"><p class="login-subtitle"><span>For Case Participants</span></p><p class="login-title"><a href="https://drportal.finra.org/">DR PORTAL</a></p><p class="login-desc">Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.</p><div class="login-btn" style="padding:5px 0px 14px 0px;"><a href="https://drportal.finra.org/"><span>Login</span></a></div></div></div><div class="login-fourth"><p class="need-help" style="font-size:16px;"><a href="https://tools.finra.org/cc_support/">Need Help?</a> | <a href="/systems-status/">Check System Status</a></p><p class="other-systems" style="font-size:16px;"><a href="/filing-reporting/entitlement/systems">Log In to other FINRA systems</a></p></div></div></div> </div> </div> </section> </div> </div> </div> <div class="finra-container region-second-header"> <div class="row"> <div class="page-header"> <section class="region region-header"> <a href="/" title="Home" rel="home" class="navbar-brand"> <img src="/sites/default/files/Finra_85th_logo_0.png" alt="Home" width="115px" height="42.5px" class="img-fluid d-inline-block align-top" /> </a> </section> </div> <div class="navbar-top"> <nav class="navbar navbar-dark bg-transparent" id="navbar-top"> <div class="header-menus col collapse" id="CollapsingNavbar"> <div class="primary-header-row row"> <div class="primary-menu"> <section class="region region-primary-menu"> <div id="block-finra-bootstrap-sass-finrahomepagenavmegamenusnew" data-block-plugin-id="superfish:finra-homepage-nav-megamenus-new" class="block block-superfish block-superfishfinra-homepage-nav-megamenus-new"> <div class="content"> <ul id="superfish-finra-homepage-nav-megamenus-new" class="menu sf-menu sf-finra-homepage-nav-megamenus-new sf-horizontal sf-style-none"> <li id="finra-homepage-nav-megamenus-new-menu-link-content1b4d9607-2d0a-4ba3-a6e7-4a6b1cbb6e82--2" class="sf-depth-1 header menuparent"><a href="/rules-guidance" class="sf-depth-1 menuparent" aria-labelledby="Rules & Guidance">Rules & Guidance</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content2b12b470-c7eb-4690-8fd4-f9b3e24e6e15--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/rules-guidance" class="sf-depth-2 menuparent" aria-labelledby="R&G Section 1">R&G Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content34143c81-286b-4cfe-96fd-1a36a135d75b--2" class="sf-depth-3 header menuparent"><a href="/rules-guidance/finra-manual" class="sf-depth-3 menuparent" aria-labelledby="FINRA Manual">FINRA Manual</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content3cd026de-017b-44ff-a42c-3d45c4adc2ba--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/rulebooks/updates" class="sf-depth-4" aria-labelledby="Updates">Updates</a></li></ol></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentcd534a29-dae6-4b27-954d-7f3f6aa5f95a--2" class="sf-depth-3 header menuparent"><a href="/rules-guidance/interpreting-rules" class="sf-depth-3 menuparent" aria-labelledby="Interpreting the Rules">Interpreting the Rules</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentbfc59af9-883c-4ce9-9508-07a74a3dbac5--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/notices" class="sf-depth-4" aria-labelledby="Notices">Notices</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contenta067da24-ce37-43a4-acbd-019db86020de--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/guidance" class="sf-depth-4" aria-labelledby="Guidance">Guidance</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content157e31e2-c14b-4fd7-8e33-01515c4ba0bf--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/guidance/faqs" class="sf-depth-4" aria-labelledby="Frequently Asked Questions">Frequently Asked Questions</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contente44c49ed-a2d7-4660-8937-8285e50fc411--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/key-topics" class="sf-depth-4" aria-labelledby="Key Topics">Key Topics</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contenta7c1dcca-4c7d-437a-a1ab-6f0b1aadb744--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/interpretive-questions" class="sf-depth-4" aria-labelledby="Interpretive Questions">Interpretive Questions</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-content16a886d5-41e2-4e4e-820c-8b43ad12cf92--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/rules-guidance" class="sf-depth-2 menuparent" aria-labelledby="R&G Section 2">R&G Section 2</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content7bf9ad1b-48c9-46ea-aea1-0c8fedf6e76b--2" class="sf-depth-3 header menuparent"><a href="/rules-guidance/rulemaking-process" class="sf-depth-3 menuparent" aria-labelledby="The Rulemaking Process">The Rulemaking Process</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentbb8cb4dd-cc48-4206-9aa6-8c076743f2b9--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/rule-filings" class="sf-depth-4" aria-labelledby="Rule Filings">Rule Filings</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content0435d995-74bd-40da-b86a-40b62d41e5d9--2" class="sf-depth-4 header sf-no-children"><a href="https://tools.finra.org/rule_filings/" class="sf-depth-4 sf-external" aria-labelledby="Rule Filing Status Report">Rule Filing Status Report</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content5e4d2052-7c9f-43be-b9c9-b970f21d78fd--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/requests-for-comments" class="sf-depth-4" aria-labelledby="Requests for Comments">Requests for Comments</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content72741ca5-a482-40a7-ac2e-bfbcdb708594--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/rulebook-consolidation" class="sf-depth-4" aria-labelledby="Rulebook Consolidation">Rulebook Consolidation</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-content47861d1e-f84c-48aa-a39c-7a264303694d--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/rules-guidance" class="sf-depth-2 menuparent" aria-labelledby="R&G Section 3">R&G Section 3</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content4d3988a6-9d3c-4b49-b08f-5ec10bd2378d--2" class="sf-depth-3 header menuparent"><a href="/rules-guidance/adjudication-decisions" class="sf-depth-3 menuparent" aria-labelledby="Adjudications & Decisions">Adjudications & Decisions</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentda0fdb33-e0ea-4e1a-b92c-cf7a90128e9b--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/adjudication-decisions/national-adjudicatory-council-nac" class="sf-depth-4" aria-labelledby="National Adjudicatory Council (NAC)">National Adjudicatory Council (NAC)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf37f3677-c5e1-403d-a87c-288b022fc036--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/adjudication-decisions/office-hearing-officers-oho/about" class="sf-depth-4" aria-labelledby="Office of Hearing Officers (OHO)">Office of Hearing Officers (OHO)</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-content14293eb5-673b-4472-95fc-84c7b5a3c532--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/rules-guidance" class="sf-depth-2 menuparent" aria-labelledby="R&G Section 4">R&G Section 4</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contente040ccaf-750c-4e7a-b1ac-b527a3b29bc1--2" class="sf-depth-3 header menuparent"><a href="/rules-guidance/enforcement" class="sf-depth-3 menuparent" aria-labelledby="Enforcement">Enforcement</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content3160b9d2-e42d-4588-b87c-fdd986d234de--2" class="sf-depth-4 header sf-no-children"><a href="https://www.finra.org/rules-guidance/oversight-enforcement/disciplinary-actions-online" class="sf-depth-4 sf-external" aria-labelledby="Disciplinary Actions Online">Disciplinary Actions Online</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content9bc2c3c1-6105-4a43-84e7-d3b87b38bbdd--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/oversight-enforcement/disciplinary-actions" class="sf-depth-4" aria-labelledby="Monthly Disciplinary Actions">Monthly Disciplinary Actions</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentdcdce396-9e20-4fba-9cf9-7c1822af7b43--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/oversight-enforcement/sanction-guidelines" class="sf-depth-4" aria-labelledby="Sanction Guidelines">Sanction Guidelines</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content7ae8b495-7bbc-4713-a3d1-393e757a4f7a--2" class="sf-depth-4 header sf-no-children"><a href="/rules-guidance/oversight-Oversight%20%26%20Enforcement/individuals-barred-finra" class="sf-depth-4" aria-labelledby="Individuals Barred by FINRA">Individuals Barred by FINRA</a></li></ol></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-content568be8c6-2749-4b61-afa4-e1aef3056650--2" class="active-trail sf-depth-1 header menuparent"><a href="/registration-exams-ce" class="sf-depth-1 menuparent" aria-labelledby="Registration, Exams & CE">Registration, Exams & CE</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content743dcab1-fa12-4078-9425-f1e5f9d0519a--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/registration-exams-ce" class="sf-depth-2 menuparent" aria-labelledby="Registration section 1">Registration section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content4e8b3fa4-2b63-4dc6-9b06-3ec58bd3b6d6--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/registration" class="sf-depth-3 menuparent" aria-labelledby="Registration">Registration</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf6878ec3-2a37-4286-b0ff-51f38f2ea5fd--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/broker-dealers" class="sf-depth-4" aria-labelledby="Broker Dealers">Broker Dealers</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content0ecbf1ea-6ca0-4bc8-8e9b-59e7cba90a62--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/capital-acquisition-brokers" class="sf-depth-4" aria-labelledby="Capital Acquisition Brokers">Capital Acquisition Brokers</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content01963f11-2411-4031-a5c9-8e73580648f3--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/funding-portals" class="sf-depth-4" aria-labelledby="Funding Portals">Funding Portals</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content45b769ff-9b3c-4cbc-befb-79380e5b6014--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/individuals" class="sf-depth-4" aria-labelledby="Individuals">Individuals</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentac0e3bb2-976c-4b6a-8fec-981489a9fdec--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/registration-exams-ce" class="sf-depth-2 menuparent" aria-labelledby="Registration Section 2">Registration Section 2</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content5b603fc0-12c2-44c3-bb60-0db5f114a14f--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/qualification-exams" class="sf-depth-3 menuparent" aria-labelledby="Qualification Exams">Qualification Exams</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content63752dac-c460-4619-b75a-0544d39f9e21--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/qualification-exams/securities-industry-essentials-exam-sie" class="sf-depth-4" aria-labelledby="Securities Industry Essentials Exam (SIE)">Securities Industry Essentials Exam (SIE)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contenteba0ebc3-0134-40a1-869d-3a5a30f05306--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/qualification-exams/series7" class="sf-depth-4" aria-labelledby="Series 7">Series 7</a></li></ol></li><li id="finra-homepage-nav-megamenus-new-menu-link-content1d435c60-0a5d-4ac1-baac-6feb68ac1aa4--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/continuing-education" class="sf-depth-3 menuparent" aria-labelledby="Continuing Education (CE)">Continuing Education (CE)</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content12708005-03a9-4813-a1c4-b79ccb575e00--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/continuing-education/regulatory-element-topics" class="sf-depth-4" aria-labelledby="View a Regulatory Element Learning Plan">View a Regulatory Element Learning Plan</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-content87ac70da-476d-497b-bee4-39d65e59ea5f--2" class="active-trail sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/registration-exams-ce" class="sf-depth-2 menuparent" aria-labelledby="Registration Section 3">Registration Section 3</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content1f87e2bc-137c-4e76-ba12-921ac5400696--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/classic-crd" class="sf-depth-3 menuparent" aria-labelledby="Registration Systems">Registration Systems</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content74de55a6-970c-49a4-877f-6a3cd1584db9--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/classic-crd" class="sf-depth-4" aria-labelledby="Classic CRD">Classic CRD</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentc425811e-6944-4643-9a4b-21222d7ed44e--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/finpro" class="sf-depth-4" aria-labelledby="Financial Professional Gateway (FinPro)">Financial Professional Gateway (FinPro)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content7afd209b-9193-484a-b160-9705bcd8e250--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/financial-industry-networking-directory" class="sf-depth-4" aria-labelledby="Financial Industry Networking Directory (FIND)">Financial Industry Networking Directory (FIND)</a></li></ol></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentc47867f6-a419-4633-83aa-9fb4c8d8cda7--2" class="sf-depth-1 header menuparent"><a href="/events-training" class="sf-depth-1 menuparent" aria-labelledby="Events & Training">Events & Training</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content9cd640c1-feb7-4c4a-b67e-a3eaedacd028--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/events-training" class="sf-depth-2 menuparent" aria-labelledby="Events & Training Section 1">Events & Training Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf380a1ac-d9fd-45e2-8f15-32b96331c18f--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/conferences-events" class="sf-depth-3" aria-labelledby="Conferences & Events">Conferences & Events</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content9abdc27c-9497-426d-be8e-465a10d034ac--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/finra-georgetown" class="sf-depth-3" aria-labelledby="FINRA Institute at Georgetown">FINRA Institute at Georgetown</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content81cc3c6b-ad65-4627-8b34-69f4bb5d3e5e--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/flex" class="sf-depth-3" aria-labelledby="Financial Learning Experience (FLEX)">Financial Learning Experience (FLEX)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content8febe617-8873-4d02-aca8-d13df4b6649e--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/small-firms-information/small-firm-report" class="sf-depth-3" aria-labelledby="Small Firm Conference Call">Small Firm Conference Call</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content911c7ec5-023c-4c98-953f-b121ff986fa3--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/webinars" class="sf-depth-3" aria-labelledby="Webinars">Webinars</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf3f7bbdd-246d-45c1-af1c-960dc8ad074d--2" class="sf-depth-1 header menuparent"><a href="/filing-reporting" class="sf-depth-1 menuparent" aria-labelledby="Filing & Reporting">Filing & Reporting</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content296db8b3-7b22-4c23-a036-06be44277a69--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/filing-reporting" class="sf-depth-2 menuparent" aria-labelledby="Filing & Reporting Section 1">Filing & Reporting Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf874a19d-557b-487f-88f1-3d84445f4bc9--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/finra-gateway" class="sf-depth-3" aria-labelledby="FINRA Gateway">FINRA Gateway</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf6c4c3c6-93c8-42cf-ab58-476a92d01380--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/systems-status" class="sf-depth-3" aria-labelledby="Systems Status">Systems Status</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentd27e2150-fc22-4e07-98c1-2cce079184a8--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/entitlement" class="sf-depth-3" aria-labelledby="Entitlement Program">Entitlement Program</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content68c74d41-92b9-4e79-84e4-5c43beaf45dc--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/market-transparency-reporting" class="sf-depth-3" aria-labelledby="Market Transparency Reporting Tools">Market Transparency Reporting Tools</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentbb250ecd-0432-4ebc-bccf-a21e455fb617--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/regulatory-filing-systems" class="sf-depth-3" aria-labelledby="Regulatory Filing Systems">Regulatory Filing Systems</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2de7e722-b3b2-471e-9cf2-587f649dd923--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/data-transfer-tools" class="sf-depth-3" aria-labelledby="Data Transfer Tools">Data Transfer Tools</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentec6d9be1-8ac6-4071-890c-52838b5490a2--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/e-bill" class="sf-depth-3" aria-labelledby="E-Bill">E-Bill</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentabdfc859-e1e4-4071-9b99-9535c132ee72--2" class="sf-depth-1 header menuparent"><a href="/compliance-tools" class="sf-depth-1 menuparent" aria-labelledby="Compliance Tools">Compliance Tools</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content318c9740-343f-48dd-a32e-600f8c817211--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/compliance-tools" class="sf-depth-2 menuparent" aria-labelledby="Compliance Tools Section 1">Compliance Tools Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content2badcc82-a0ba-4813-a97b-5cde27a154a6--2" class="sf-depth-3 header sf-no-children"><a href="https://www.finra.org/compliance-tools/cybersecurity-checklist" class="sf-depth-3 sf-external" aria-labelledby="Cybersecurity Checklist">Cybersecurity Checklist</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content7f6b440c-bc36-49c7-900b-1fe8e36909db--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/compliance-calendar" class="sf-depth-3" aria-labelledby="Compliance Calendar">Compliance Calendar</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contente0f11415-45ff-4cf1-925e-cf2b1f5cecf9--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/weekly-archive" class="sf-depth-3" aria-labelledby="Weekly Update Email Archive">Weekly Update Email Archive</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content170de235-7c02-4852-984e-95eef4499125--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/peer-2-peer-compliance-library" class="sf-depth-3" aria-labelledby="Peer-2-Peer Compliance Library">Peer-2-Peer Compliance Library</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-content8a617041-43a3-43ff-9f58-6a2615970d47--2" class="sf-depth-1 header menuparent"><a href="/investors" class="sf-depth-1 menuparent" aria-labelledby="For Investors">For Investors</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content955b2de2-2baf-4187-9e39-086c21440220--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/investors" class="sf-depth-2 menuparent" aria-labelledby="For Investors Section 1">For Investors Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content1def6247-9eb1-41f1-a045-bbfc96316e74--2" class="sf-depth-3 header sf-no-children"><a href="/investors/insights" class="sf-depth-3" aria-labelledby="Investor Insights">Investor Insights</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content0f5c83d6-0199-481c-bdb8-4215fffb4371--2" class="sf-depth-3 header sf-no-children"><a href="/investors/tools-and-calculators" class="sf-depth-3" aria-labelledby="Tools & Calculators">Tools & Calculators</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content53f5080d-f916-4b0a-942e-129c5cf72090--2" class="sf-depth-3 header menuparent"><a href="/investors/personal-finance" class="sf-depth-3 menuparent" aria-labelledby="Personal Finance">Personal Finance</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content7c320bbc-4fad-463a-97ee-024d99463fca--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/know-your-net-worth" class="sf-depth-4" aria-labelledby="Net Worth">Net Worth</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content26f056cf-1b99-4c9d-a97c-18cc65a4eb22--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/control-spending-calculate-cash-flow" class="sf-depth-4" aria-labelledby="Spending">Spending</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2c662e03-9e1f-4e44-80e6-aba99155f167--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/manage-your-debt" class="sf-depth-4" aria-labelledby="Debt">Debt</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content2d5626b5-fe42-47bf-8088-a4996e53f73e--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/how-your-credit-score-impacts-your-financial-future" class="sf-depth-4" aria-labelledby="Credit Scores">Credit Scores</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content5388280f-edc8-40b9-a071-e4d109117508--2" class="sf-depth-4 header sf-no-children"><a href="/investors/personal-finance/start-emergency-fund" class="sf-depth-4" aria-labelledby="Emergency Funds">Emergency Funds</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-content7d8f8a9d-8b19-4d7e-a8cd-586399b0e4f8--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/investors" class="sf-depth-2 menuparent" aria-labelledby="For Investors Section 2">For Investors Section 2</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content64f29299-b56d-4976-9c4d-c4cd58f933ba--2" class="sf-depth-3 header menuparent"><a href="/investors/investing" class="sf-depth-3 menuparent" aria-labelledby="Investing">Investing</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content3d6bebd0-cfbc-4d39-88f9-a401f33f597e--2" class="sf-depth-4 header sf-no-children"><a href="/investors/investing/investing-basics" class="sf-depth-4" aria-labelledby="Investing Basics">Investing Basics</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contente62ab252-c90e-43eb-b799-328c951f9680--2" class="sf-depth-4 header sf-no-children"><a href="/investors/investing/investment-products" class="sf-depth-4" aria-labelledby="Investment Products">Investment Products</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content4a8dd42d-00d4-4290-8ed4-e6224956af5f--2" class="sf-depth-4 header sf-no-children"><a href="/investors/investing/investment-accounts" class="sf-depth-4" aria-labelledby="Investment Accounts">Investment Accounts</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf425f2b1-c2f1-4000-9bb7-2233a2298437--2" class="sf-depth-4 header sf-no-children"><a href="/investors/investing/working-with-investment-professional" class="sf-depth-4" aria-labelledby="Working With an Investment Professional">Working With an Investment Professional</a></li></ol></li><li id="finra-homepage-nav-megamenus-new-menu-link-contenta983f7d0-3993-4f42-80d8-ed474e986f45--2" class="sf-depth-3 header menuparent"><a href="/investors/protect-your-money" class="sf-depth-3 menuparent" aria-labelledby="Protect Your Money">Protect Your Money</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content84745677-33ee-4917-b6d7-78f2d33ae64a--2" class="sf-depth-4 header sf-no-children"><a href="/investors/alerts" class="sf-depth-4" aria-labelledby="Investor Alerts">Investor Alerts</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentbabb7a34-330b-432a-9c7a-3aed86cab6b3--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/ask-and-check" class="sf-depth-4" aria-labelledby="Ask and Check">Ask and Check</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content75981642-a29c-4c2f-a04a-268dd98fd524--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/avoid-fraud" class="sf-depth-4" aria-labelledby="Avoid Fraud">Avoid Fraud</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content773fb0c7-df7e-422b-a8f0-3689c3f58683--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/protect-your-identity" class="sf-depth-4" aria-labelledby="Protect Your Identity">Protect Your Identity</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf03d2691-6592-4649-b41d-6652712ef3d0--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/investors" class="sf-depth-2 menuparent" aria-labelledby="For Investors Section 3">For Investors Section 3</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentb0c88306-2bd6-4078-8a56-8766b2affe7f--2" class="sf-depth-3 header sf-no-children"><a href="/investors/military" class="sf-depth-3" aria-labelledby="For the Military">For the Military</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content1b13b9ef-e483-4cb3-bce6-a5e1069fc45e--2" class="sf-depth-3 header menuparent"><a href="/investors/need-help" class="sf-depth-3 menuparent" aria-labelledby="Need Help?">Need Help?</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf4bc73f1-2d52-4a24-9c44-7d956273b8fb--2" class="sf-depth-4 header sf-no-children"><a href="/investors/need-help/file-a-complaint" class="sf-depth-4" aria-labelledby="File a Complaint">File a Complaint</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentcca58141-8642-401c-acd4-a857dae74c57--2" class="sf-depth-4 header sf-no-children"><a href="/investors/need-help/helpline-seniors" class="sf-depth-4" aria-labelledby="FINRA Securities Helpline for Seniors">FINRA Securities Helpline for Seniors</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentb8670cad-ba33-4aff-a609-45c82362ed80--2" class="sf-depth-4 header sf-no-children"><a href="/arbitration-mediation" class="sf-depth-4" aria-labelledby="Dispute Resolution">Dispute Resolution</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content6b4ead9c-d440-41c5-af0b-aa0f20f66919--2" class="sf-depth-4 header sf-no-children"><a href="/investors/need-help/legitimate-avenues-recovery-investment-losses" class="sf-depth-4" aria-labelledby="Avenues for Recovery of Losses">Avenues for Recovery of Losses</a></li></ol></li></ol></div></li></ol></li></ul></li> </ul> </div> </div> </section> </div> <hr> <div id="mob_menu_sec" class="secondary-menu" style = "display:none"> <section class="region region-secondary-menu"> <nav role="navigation" aria-labelledby="block-finrautilitymenu-menu" id="block-finrautilitymenu" data-block-plugin-id="system_menu_block:finra-utility-menu" class="block block-menu navigation menu--finra-utility-menu"> <h2 class="sr-only visually-hidden" id="block-finrautilitymenu-menu">FINRA Utility Menu</h2> <ul id="block-finrautilitymenu" class="clearfix nav navbar-nav"> <li class="nav-item menu-item--collapsed"> <a href="/about" class="nav-link" aria-labelledby="About FINRA" data-drupal-link-system-path="node/135106">About FINRA</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/careers" class="nav-link" aria-labelledby="Careers" data-drupal-link-system-path="node/135166">Careers</a> </li> <li class="nav-item"> <a href="https://brokercheck.finra.org" class="nav-link" aria-labelledby="BrokerCheck">BrokerCheck</a> </li> <li class="nav-item"> <a href="/finra-data" class="nav-link" aria-labelledby="Data" data-drupal-link-system-path="node/180426">Data</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/media-center" class="nav-link" aria-labelledby="Media Center" data-drupal-link-system-path="node/340671">Media Center</a> </li> <li class="nav-item"> <a href="/member-firm-hub" class="nav-link" aria-labelledby="For Firms" data-drupal-link-system-path="node/342121">For Firms</a> </li> </ul> </nav> </section> <section class="region region-top-header-form"> <div id="block-finra-bootstrap-sass-loginoverlaynewhomepage-2" data-block-plugin-id="block_content:5f737dd3-a3ee-4d2a-b891-e115158ec6d9" class="block block-block-content block-block-content5f737dd3-a3ee-4d2a-b891-e115158ec6d9"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><div class="test" aria-controls="loginCollapse" aria-expanded="false" data-toggle="collapse" href="#loginCollapse" id="login-icon" role="button"><p><svg xmlns="http://www.w3.org/2000/svg" viewbox="0 0 448 512"><path fill="currentColor" d="M304 128a80 80 0 1 0 -160 0 80 80 0 1 0 160 0zM96 128a128 128 0 1 1 256 0A128 128 0 1 1 96 128zM49.3 464H398.7c-8.9-63.3-63.3-112-129-112H178.3c-65.7 0-120.1 48.7-129 112zM0 482.3C0 383.8 79.8 304 178.3 304h91.4C368.2 304 448 383.8 448 482.3c0 16.4-13.3 29.7-29.7 29.7H29.7C13.3 512 0 498.7 0 482.3z"></path></svg></p></div><div class="collapse" id="loginCollapse"><div class="login-responsive">聽</div><div class="login-row" layout="row"><div class="login-col" layout="col"><p class="login-subtitle"><span>For the Public</span></p><p class="login-title"><a href="https://ews.finra.org/auth/logon?realm=ews&goto=https%3A//gateway.finra.org/app/data%3FrcpRedirNum%3D1">FINRA DATA</a></p><p class="login-desc">FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.</p><div class="login-btn" style="padding:5px 0px 14px 0px;"><a href="https://ews.finra.org/auth/logon?realm=ews&goto=https%3A//gateway.finra.org/app/data%3FrcpRedirNum%3D1"><span>Login</span></a></div></div><div class="login-col" layout="col"><p class="login-subtitle"><span>For Industry Professionals</span></p><p class="login-title"><a href="https://finpro.finra.org/">FINPRO</a></p><p class="login-desc">Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.</p><div class="login-btn" style="padding:5px 0px 14px 0px;"><a href="https://finpro.finra.org/"><span>Login</span></a></div></div><div class="login-col" layout="col"><p class="login-subtitle"><span>For Member Firms</span></p><p class="login-title"><a href="https://gateway.finra.org/">FINRA GATEWAY</a></p><p class="login-desc">Firm compliance professionals can access filings and requests, run reports and submit support tickets.</p><div class="login-btn" style="padding:5px 0px 14px 0px;"><a href="https://gateway.finra.org/"><span>Login</span></a></div></div><div class="login-col" layout="col"><p class="login-subtitle"><span>For Case Participants</span></p><p class="login-title"><a href="https://drportal.finra.org/">DR PORTAL</a></p><p class="login-desc">Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.</p><div class="login-btn" style="padding:5px 0px 14px 0px;"><a href="https://drportal.finra.org/"><span>Login</span></a></div></div></div><div class="login-fourth"><p class="need-help" style="font-size:16px;"><a href="https://tools.finra.org/cc_support/">Need Help?</a> | <a href="/systems-status/">Check System Status</a></p><p class="other-systems" style="font-size:16px;"><a href="/filing-reporting/entitlement/systems">Log In to other FINRA systems</a></p></div></div></div> </div> </div> </section> </div> <div class="search-icon-custom"> <div class="wrapper_search"> <input class="custom-landing-search" maxlength="60" type="text" name='search_api_fulltext' placeholder="Search"/> <button><i class="far fa-search" aria-hidden="true" style="color: #0082D1"></i></button> </div> </div> </div> </div> <button class="navbar-toggler navbar-toggler-right" type="button" data-toggle="collapse" data-target="#CollapsingNavbar" aria-controls="CollapsingNavbar" aria-expanded="false" aria-label="Toggle navigation"> <span class="navbar-toggler-icon"></span> <span class="navbar-toggler-icon-mobile"></span> </button> </nav> </div> </div> </div> <div class="finra-container region-primary-title"> <div class="row"> <div class="col"> <section class="offset-lg-3 region region-primary-title"> </section> </div> </div> </div> </header> <div id="main-wrapper" class="layout-main-wrapper clearfix"> <div id="main" class="container-fluid finra-container"> <section class="row"> <div class="col-lg-7 specific-crumbs region region-breadcrumb"> <div id="block-finra-bootstrap-sass-breadcrumbs" data-block-plugin-id="system_breadcrumb_block" class="breadcrumbs__container"> <nav role="navigation" aria-label="breadcrumb" style=""> <ol class="breadcrumb"> <li class="breadcrumb-item"> <a href="/registration-exams-ce">Registration, Exams and CE</a> </li> </ol> </nav> </div> </div> </section> <div class="row row-offcanvas row-offcanvas-left clearfix"> <div class="sidebar col-lg-3 finra-sidebar-first menu-top" id="sidebar_first"> <aside class="section menu-sticky" role="complementary"> <div class="layout--left-nav"> <div onclick="this.classList.toggle('active')" class="d-sm-block d-lg-none left-nav-toggle arrow-down" data-toggle="collapse" data-target=".layout-collapse"> EXPLORE THIS SECTION </div> <div class="left-nav-collapse collapse layout-collapse"> <nav role="navigation" aria-labelledby="block-finramainnavigation-2-menu" id="block-finramainnavigation-2" data-block-plugin-id="system_menu_block:finra-main-navigation" class="block block-menu navigation menu--finra-main-navigation"> <h2 class="sr-only visually-hidden" id="block-finramainnavigation-2-menu">FINRA Main Navigation</h2> <ul id="block-finramainnavigation-2" class="clearfix nav navbar-nav"> <li class="nav-item menu-item--expanded"> <div class="expando collapsed" data-toggle="collapse" data-target="#registration-submenu"></div> <a href="/registration-exams-ce/registration" class="nav-link adjust-for-expando" aria-labelledby="Registration" data-drupal-link-system-path="node/137201">Registration</a> <ul class="menu collapse " id="registration-submenu"> <li class="nav-item"> <a href="/registration-exams-ce/broker-dealers" class="nav-link" aria-labelledby="Broker Dealers" data-drupal-link-system-path="node/135356">Broker Dealers</a> </li> <li class="nav-item"> <a href="/registration-exams-ce/capital-acquisition-brokers" class="nav-link" aria-labelledby="Capital Acquisition Brokers" data-drupal-link-system-path="node/126071">Capital Acquisition Brokers</a> </li> <li class="nav-item"> <a href="/registration-exams-ce/funding-portals" class="nav-link" aria-labelledby="Funding Portals" data-drupal-link-system-path="node/135361">Funding Portals</a> </li> <li class="nav-item"> <a href="/registration-exams-ce/individuals" class="nav-link" aria-labelledby="Individuals" data-drupal-link-system-path="node/10398">Individuals</a> </li> </ul> </li> <li class="nav-item menu-item--expanded"> <div class="expando collapsed" data-toggle="collapse" data-target="#qualification-exams-submenu"></div> <a href="/registration-exams-ce/qualification-exams" class="nav-link adjust-for-expando" aria-labelledby="Qualification Exams" data-drupal-link-system-path="node/126761">Qualification Exams</a> <ul class="menu collapse " id="qualification-exams-submenu"> <li class="nav-item"> <a href="/registration-exams-ce/qualification-exams/securities-industry-essentials-exam-sie" class="nav-link" aria-labelledby="Securities Industry Essentials Exam (SIE)">Securities Industry Essentials Exam (SIE)</a> </li> <li class="nav-item"> <a href="/registration-exams-ce/qualification-exams/series7" class="nav-link" aria-labelledby="Series 7" data-drupal-link-system-path="node/10344">Series 7</a> </li> </ul> </li> <li class="nav-item menu-item--expanded"> <div class="expando collapsed" data-toggle="collapse" data-target="#continuing-education-(ce)-submenu"></div> <a href="/registration-exams-ce/continuing-education" class="nav-link adjust-for-expando" aria-labelledby="Continuing Education (CE)" data-drupal-link-system-path="node/135681">Continuing Education (CE)</a> <ul class="menu collapse " id="continuing-education-(ce)-submenu"> <li class="nav-item"> <a href="/registration-exams-ce/continuing-education/regulatory-element-topics" class="nav-link" aria-labelledby="View a Regulatory Element Learning Plan" data-drupal-link-system-path="node/334416">View a Regulatory Element Learning Plan</a> </li> </ul> </li> <li class="nav-item menu-item--expanded"> <div class="expando collapsed" data-toggle="collapse" data-target="#registration-systems-submenu"></div> <a href="/registration-exams-ce/classic-crd" class="nav-link adjust-for-expando" aria-labelledby="Registration Systems" data-drupal-link-system-path="node/126081">Registration Systems</a> <ul class="menu collapse " id="registration-systems-submenu"> <li class="nav-item"> <a href="/registration-exams-ce/classic-crd" class="nav-link" aria-labelledby="Classic CRD" data-drupal-link-system-path="node/126081">Classic CRD</a> </li> <li class="nav-item"> <a href="/registration-exams-ce/finpro" class="nav-link" aria-labelledby="Financial Professional Gateway (FinPro)" data-drupal-link-system-path="node/66193">Financial Professional Gateway (FinPro)</a> </li> <li class="nav-item"> <a href="/registration-exams-ce/financial-industry-networking-directory" class="nav-link" aria-labelledby="Financial Industry Networking Directory (FIND)" data-drupal-link-system-path="node/145806">Financial Industry Networking Directory (FIND)</a> </li> </ul> </li> <li class="nav-item"> <a href="/registration-exams-ce/manage-your-career" class="nav-link" aria-labelledby="Manage Your Career" data-drupal-link-system-path="node/86458">Manage Your Career</a> </li> </ul> </nav> </div> </div> </aside> </div> <main class="main-content col" id="content" role="main"> <section class="section"> <a id="main-content" tabindex="-1"></a> <div id="block-finra-bootstrap-sass-system-main" data-block-plugin-id="system_main_block" class="block block-system block-system-main-block"> <div class="content"> <article class="node node--type-article node--view-mode-full clearfix"> <div> <div class="layout layout--twocol-bricks"> <div class="row"> <div class="layout__region layout__region--top col-md-12"> <div class="block-region-top"><div data-block-plugin-id="entity_field:node:title" class="block block-ctools-block block-entity-fieldnodetitle"> <div class="content"> <span class="field field--name-title field--type-string field--label-hidden"><h1>Regulatory Fees and Payment Options</h1></span> </div> </div> </div> </div> </div> <div class="finra-container"> <div class="row"> </div> </div> <div class="finra-container"> <div class="row"> </div> </div> <div class="row"> <div class="layout__region layout__region--middle col-md-12"> <div class="block-region-middle"><div data-block-plugin-id="entity_field:node:body" class="block block-ctools-block block-entity-fieldnodebody"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><p>FINRA assesses and collects regulatory fees that fund FINRA's regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides. State sales tax is also assessed for certain FINRA-provided products or services; please review the <a href="/filing-reporting/e-bill#sales_tax">E-Bill state sales tax information</a> for details.</p> <p>FINRA provides several options for firms to pay these fees. Firms may pay invoices via check, ACH payment, credit card or wire transfer.</p> <p>FINRA also provides an electronic billing system, E-Bill, which enables firms to view and pay invoices through the <a href="/filing-reporting/finra-gateway">FINRA Gateway</a>鈥攁n online tool that provides centralized access to FINRA regulatory and filing applications.</p> <p>Firms may use one of the following <strong>five聽methods</strong> to make payments to FINRA:</p> <h3>1. <a href="/filing-reporting/e-bill">E-Bill</a>聽(preferred)</h3> <p>View and pay invoices via credit card, ACH or by reallocating funds from your firm's FINRA Flex-Funding Account. Your bank may require FINRA鈥檚 <strong>Company ID</strong> to process transactions via E-Bill.</p> <p>In these instances, please use the following Company IDs: 1222528267, 1222528268 or 1222528269.</p> <h3>2. Check</h3> <p>To ensure your firm's payments are applied to the correct invoice in a timely manner, firms must include聽<strong>invoice numbers</strong>聽on all check remittances. Note: If a firm submits a payment without an invoice number, FINRA will apply the funds to the firm's FINRA Flex-Funding account, which is accessible via E-Bill. Someone at your firm must then transfer the funds to the appropriate invoice in order for the invoice to be closed. Use the following information to make payments to FINRA.</p> <p>To mail a check to FINRA, include the聽<strong>invoice number</strong>聽on the check and mail the payment to:</p> <div class="column-container"> <div class="half"> <h3>All Payments (except GASB payments)</h3> <ul><li><strong>Standard Mailing Address</strong><br /> FINRA<br /> P.O. Box 418911<br /> Boston, MA 02241-8911</li> <li><strong>Overnight/Courier Address</strong><br /> Bank of America Lockbox Services<br /> FINRA 418911<br /> MA5-527-02-07<br /> 2 Morrissey Blvd.<br /> Dorchester, MA 02125</li> </ul></div> <div class="half"> <h3>FINRA-GASB Payments</h3> <ul><li><strong>Standard Mailing Address</strong><br /> FINRA-GASB<br /> P.O. Box 418925<br /> Boston, MA 02241-8925</li> <li><strong>Overnight/Courier Address</strong><br /> Bank of America Lockbox Services<br /> GASB 418925<br /> MA5-527-02-07<br /> 2 Morrissey Blvd.<br /> Dorchester, MA 02125</li> </ul></div> </div> <h3>3.聽Wire Transfers/ACH</h3> <p>To ensure your firm's payments are applied to the correct invoice in a timely manner, firms must include聽<strong>invoice numbers</strong>聽in the reference number on ACH and wire payments. Note: If a firm submits a payment without an invoice number, FINRA will apply the funds to the firm's FINRA Flex-Funding account, which is accessible via E-Bill. Someone at your firm must then transfer the funds to the appropriate invoice in order for the invoice to be closed. Use the following information to make payments to FINRA.</p> <p>To wire a payment to FINRA, provide your firm's bank with the following information:</p> <div class="column-container"> <div class="half"> <h3>FINRA and Subsidiaries (except GASB payments)</h3> <ul><li>Bank Name: Bank of America<br /> Transfer funds to: FINRA<br /> Wire ABA Number: 026009593<br /> ACH ABA Number: 054001204<br /> Beneficiary: FINRA-9509 Key West Avenue-Rockville, MD 20850<br /> FINRA Account Number: 226005684771<br /> Swift Code For Wires Sent In U.S. Dollars: BOFAUS3N<br /> Swift Code For Wires Sent In Foreign Currency: BOFAUS6S<br /> Reference Number:聽<strong>Invoice number</strong></li> </ul></div> <div class="half"> <h3>GASB Payments</h3> <ul><li>Bank Name: Bank of America<br /> Transfer funds to: FINRA<br /> Wire ABA Number: 026009593<br /> ACH ABA Number: 054001204<br /> Beneficiary: FINRA-9509 Key West Avenue-Rockville, Md 20850<br /> FINRA Account Number: 226005684823<br /> Reference Number:聽<strong>Invoice number</strong></li> </ul></div> </div> <h3>4.聽<a href="/node/8242">FINRA Flex-Funding Account</a></h3> <p>The Flex-Funding Account allows firms to pay invoices and fees assessed in CRD.聽Firms may deposit funds into the Flex-Funding Account by check, ACH payment or wire transfer. Firms that want to send hard copy checks or fund their account through wire transfer to their Flex-Funding Account can聽<a href="/node/8242">obtain instructions here</a>. Please note that credit card payments are not currently supported for funding the Flex-Funding Account.</p> <h3>5.聽<a href="/registration/renewal-program-payment-options">FINRA Renewal Account</a></h3> <p>This option is available in E-Bill only during the annual Renewal Period</p> <hr /><h3>Questions?</h3> <p>If you have any questions, please contact the FINRA Accounts Receivable Department at (240) 386-5910.</p> </div> </div> </div> </div> </div> </div> <div class="finra-container"> <div class="row"> </div> </div> <div class="finra-container"> <div class="row"> </div> </div> <div class="row"> <div class="layout__region layout__region--bottom col-md-12"> <div class="block-region-bottom"></div> </div> </div> </div> </div> </article> </div> </div> </section> </main> <div class="sidebar col-lg-2 finra-sidebar-second"> <aside class="section" role="complementary"> <section class="layout--right-nav region region-sidebar-second"> <div id="block-relatedlinkdetails" data-block-plugin-id="entity_field:node:field_link_details" class="block block-ctools-block block-entity-fieldnodefield-link-details field__label_fixed related_links"> <h2>Related Links</h2> <div class="content"> <div class="content field__label_fixed"> <div class="field field--name-field-link-details field--type-entity-reference-revisions field--label-hidden field__items"> <div class="field__item"> <div class="paragraph paragraph--type--field-link-details paragraph--view-mode--default"> <div class="field field--name-field-internal-content-link field--type-entity-reference field--label-hidden field__item"><a href="/node/11437" hreflang="und">Frequently Asked Questions about Billing and Collections </a></div> </div> </div> <div class="field__item"> <div class="paragraph paragraph--type--field-link-details paragraph--view-mode--default"> <div class="field field--name-field-link-list-url field--type-link field--label-hidden field__item"><a href="/sites/default/files/srojurisdiction-fee-and-setting-schedule.pdf">Schedule of SRO/Jurisdiction Fees and Settings</a></div> </div> </div> </div> </div> </div> </div> </section> </aside> </div> </div> </div> </div> <div id = "article-columns" class="adjustable-columns"> </div> <footer id="FINRA_footer" class="site-footer"> <div class="container-fluid"> <section class="region region-footer-highlight"> <div id="block-footerhighlight" data-block-plugin-id="block_content:13129ca4-9a12-445a-8240-396c465d4de4" class="block block-block-content block-block-content13129ca4-9a12-445a-8240-396c465d4de4"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><div class="footer-highlight-content--wrapper"><div class="highlight-text"><p class="arbitration-title">ARBITRATION & MEDIATION</p><p class="arbitration-desc">FINRA operates the largest securities dispute resolution forum in the United States</p></div><div class="learn-more-btn"><a class="footer-link" href="/arbitration-mediation"><span>Learn More</span></a></div></div></div> </div> </div> </section> <div class="finra-footer--brand"> <section class="region region-footer-brand"> <a href="/" title="Home" rel="home" class="navbar-brand"> <img src="/themes/custom/finra_bootstrap_sass/images/FINRA_Logo.svg" alt="Home"> </a> </section> </div> <div class="finra-footer--menus-wrapper"> <div class="finra-footer--menus"> <div class="finra-footer-links"> <section class=" -4 region region-footer-first"> <nav role="navigation" aria-labelledby="block-finrautilitymenu-2-menu" id="block-finrautilitymenu-2" data-block-plugin-id="system_menu_block:finra-utility-menu" class="block block-menu navigation menu--finra-utility-menu"> <h2 class="sr-only visually-hidden" id="block-finrautilitymenu-2-menu">FINRA Utility Menu</h2> <ul id="block-finrautilitymenu-2" class="clearfix nav navbar-nav"> <li class="nav-item menu-item--collapsed"> <a href="/about" class="nav-link" aria-labelledby="About FINRA" data-drupal-link-system-path="node/135106">About FINRA</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/careers" class="nav-link" aria-labelledby="Careers" data-drupal-link-system-path="node/135166">Careers</a> </li> <li class="nav-item"> <a href="https://brokercheck.finra.org" class="nav-link" aria-labelledby="BrokerCheck">BrokerCheck</a> </li> <li class="nav-item"> <a href="/finra-data" class="nav-link" aria-labelledby="Data" data-drupal-link-system-path="node/180426">Data</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/media-center" class="nav-link" aria-labelledby="Media Center" data-drupal-link-system-path="node/340671">Media Center</a> </li> <li class="nav-item"> <a href="/member-firm-hub" class="nav-link" aria-labelledby="For Firms" data-drupal-link-system-path="node/342121">For Firms</a> </li> </ul> </nav> <nav role="navigation" aria-labelledby="block-finramainnavigation-3-menu" id="block-finramainnavigation-3" data-block-plugin-id="system_menu_block:finra-main-navigation" class="block block-menu navigation menu--finra-main-navigation"> <h2 class="sr-only visually-hidden" id="block-finramainnavigation-3-menu">FINRA Main Navigation</h2> <ul id="block-finramainnavigation-3" class="clearfix nav navbar-nav"> <li class="nav-item menu-item--collapsed"> <a href="/rules-guidance" class="nav-link" aria-labelledby="Rules & Guidance" data-drupal-link-system-path="node/105256">Rules & Guidance</a> </li> <li class="nav-item menu-item--collapsed menu-item--active-trail"> <a href="/registration-exams-ce" class="nav-link active" aria-labelledby="Registration, Exams & CE" data-drupal-link-system-path="node/126826">Registration, Exams & CE</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/events-training" class="nav-link" aria-labelledby="Events & Training" data-drupal-link-system-path="node/105306">Events & Training</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/filing-reporting" class="nav-link" aria-labelledby="Filing & Reporting" data-drupal-link-system-path="node/135036">Filing & Reporting</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/compliance-tools" class="nav-link" aria-labelledby="Compliance Tools" data-drupal-link-system-path="node/136611">Compliance Tools</a> </li> <li class="nav-item menu-item--collapsed"> <a href="/investors" class="nav-link" aria-labelledby="For Investors" data-drupal-link-system-path="node/126766">For Investors</a> </li> </ul> </nav> </section> </div> <div class="finra-footer--contacts-menus"> <div class="region region-footer-second"> <section class="-lg-5 -md-12 -sm-12 region region-footer-second"> <div id="block-footercontacts1" data-block-plugin-id="block_content:c0b288c4-fa43-4f28-869e-1e7dbba541f9" class="block block-block-content block-block-contentc0b288c4-fa43-4f28-869e-1e7dbba541f9"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><div class="contact-item"><p><a class="footer-link" href="/contact-finra/">General Inquiries</a></p><p><span>301-590-6500</span></p></div><div class="contact-item"><p><a class="footer-link" href="/investors/have-a-problem/helpline-seniors">Securities Helpline for Seniors<sup>庐</sup></a></p><p><span>844-574-3577 (Mon-Fri 9am-5pm ET)</span></p></div><div class="contact-item"><p><a class="footer-link" href="/contact-finra/file-tip">File a Regulatory Tip</a></p><p><span>To report on abuse or fraud in the industry</span></p></div></div> </div> </div> </section> </div> <div class="region region-footer-third"> <section class="-lg-5 -md-12 -sm-12 region region-footer-third"> <div id="block-footercontacts2" data-block-plugin-id="block_content:0d011e02-69eb-47fd-994a-587fbeb7b81e" class="block block-block-content block-block-content0d011e02-69eb-47fd-994a-587fbeb7b81e"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><div class="contact-item"><p><a class="footer-link" href="/investors/need-help/file-a-complaint">File an Investor Complaint</a></p><p><span>File a complaint about fraud or unfair practices.</span></p></div><div class="contact-item"><p><a class="footer-link" href="/compliance-tools/finra-small-firm-helpline">Small Firm Help Line</a></p><p><span>833-26-FINRA (Mon-Fri 9am-6pm ET)</span></p></div><div class="contact-item"><p><a class="footer-link" href="/about/office-ombuds">Office of the Ombuds</a></p><p><span>Report a concern about FINRA at 888-700-0028</span></p></div></div> </div> </div> </section> <section class="col-lg-5 order-lg-12 order-md-1 order-sm region region-footer-sixth"> <div id="block-finrasociallinks" data-block-plugin-id="block_content:79395185-afca-4832-b562-50b574a57497" class="block block-block-content block-block-content79395185-afca-4832-b562-50b574a57497"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><div> <p> <a href="https://www.twitter.com/finra" aria-label="X"><span class="fontawesome-icon-inline"><span class="twitter-x-icon"></span></span></a> <a href="https://www.linkedin.com/company/finra/" aria-label="linkedin"><span alt="LinkedIn" class="fontawesome-icon-inline"><span class="fa-2x fa-linkedin fab"></span></span></a> <a href="https://www.facebook.com/FinancialIndustryRegulatoryAuthority/" aria-label="facebook"><span alt="Facebook" class="fontawesome-icon-inline"><span class="fa-2x fa-facebook fab"></span></span></a> <a href="https://www.instagram.com/_finra" aria-label="Instagram"><span class="fontawesome-icon-inline"><span class="fa-2x fab fa-instagram"></span></span></a> <a href="https://www.youtube.com/@finra" aria-label="YouTube"><span class="fontawesome-icon-inline"><span class="fa-2x fa-youtube fab"></span></span></a> </p> </div></div> </div> </div> </section> </div> <div class="region region-footer-fifth"> <div id="block-finrasociallinks1"> <section class="col-lg-5 order-lg-12 order-md-1 order-sm region region-footer-sixth"> <div id="block-finrasociallinks" data-block-plugin-id="block_content:79395185-afca-4832-b562-50b574a57497" class="block block-block-content block-block-content79395185-afca-4832-b562-50b574a57497"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><div> <p> <a href="https://www.twitter.com/finra" aria-label="X"><span class="fontawesome-icon-inline"><span class="twitter-x-icon"></span></span></a> <a href="https://www.linkedin.com/company/finra/" aria-label="linkedin"><span alt="LinkedIn" class="fontawesome-icon-inline"><span class="fa-2x fa-linkedin fab"></span></span></a> <a href="https://www.facebook.com/FinancialIndustryRegulatoryAuthority/" aria-label="facebook"><span alt="Facebook" class="fontawesome-icon-inline"><span class="fa-2x fa-facebook fab"></span></span></a> <a href="https://www.instagram.com/_finra" aria-label="Instagram"><span class="fontawesome-icon-inline"><span class="fa-2x fab fa-instagram"></span></span></a> <a href="https://www.youtube.com/@finra" aria-label="YouTube"><span class="fontawesome-icon-inline"><span class="fa-2x fa-youtube fab"></span></span></a> </p> </div></div> </div> </div> </section> </div> </div> </div> </div> </div> <div class="finra-footer--trademarks"> <section class="-lg-7 order-lg-1 order-md-12 order-sm region region-footer-seventh"> <nav role="navigation" aria-labelledby="block-footerlegallinks-menu" id="block-footerlegallinks" data-block-plugin-id="system_menu_block:footer-legal-links" class="block block-menu navigation menu--footer-legal-links"> <h2 class="sr-only visually-hidden" id="block-footerlegallinks-menu">Footer Legal Links</h2> <ul id="block-footerlegallinks" class="clearfix nav navbar-nav"> <li class="nav-item"> <a href="/site-map" class="nav-link" aria-labelledby="Site Map" data-drupal-link-system-path="node/139246">Site Map</a> </li> <li class="nav-item"> <a href="/privacy-policy" class="nav-link" aria-labelledby="Privacy Policy" data-drupal-link-system-path="node/135876">Privacy Policy</a> </li> <li class="nav-item"> <a href="/terms-of-use" class="nav-link" aria-labelledby="Terms of Use" data-drupal-link-system-path="node/139951">Terms of Use</a> </li> <li class="nav-item"> <a href="/translate" class="nav-link" aria-labelledby="Translate" data-drupal-link-system-path="node/343381">Translate</a> </li> <li class="nav-item"> <a href="/contact-finra" class="nav-link" aria-labelledby="Contact Us" data-drupal-link-system-path="node/135416">Contact Us</a> </li> </ul> </nav> <div id="block-finracopyright" data-block-plugin-id="block_content:150cdc5c-6b33-477b-95ac-565605bddbb3" class="block block-block-content block-block-content150cdc5c-6b33-477b-95ac-565605bddbb3"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><p class="all-rights-reserved">漏 2024 FINRA. All Rights Reserved.</p><p class="trademark">FINRA is a Registered Trademark of the Financial Industry Regulatory Authority, INC.</p></div> </div> </div> </section> </div> </div> </footer> </div> </div> </div> <script type="application/json" data-drupal-selector="drupal-settings-json">{"path":{"baseUrl":"\/","scriptPath":null,"pathPrefix":"","currentPath":"node\/9424","currentPathIsAdmin":false,"isFront":false,"currentLanguage":"en"},"pluralDelimiter":"\u0003","suppressDeprecationErrors":true,"ajaxPageState":{"libraries":"addtoany\/addtoany.front,bootstrap_barrio\/breadcrumb,bootstrap_barrio\/gesta_opensans,bootstrap_barrio\/global-styling,finra_bootstrap_sass\/app-dynamic-reporting,finra_bootstrap_sass\/cookie-classification,finra_bootstrap_sass\/gesta,finra_bootstrap_sass\/global-styling,finra_bootstrap_sass\/opensans,fontawesome\/fontawesome.webfonts,fontawesome\/fontawesome.webfonts.shim,paragraphs\/drupal.paragraphs.unpublished,superfish\/superfish,superfish\/superfish_hoverintent,superfish\/superfish_supersubs,superfish\/superfish_supposition,system\/base","theme":"finra_bootstrap_sass","theme_token":null},"ajaxTrustedUrl":[],"superfish":{"superfish-finra-homepage-nav-megamenus-new":{"id":"superfish-finra-homepage-nav-megamenus-new","sf":{"animation":{"opacity":"show","height":"show"},"speed":"slow","autoArrows":false},"plugins":{"supposition":true,"supersubs":{"minWidth":15,"maxWidth":20}}}},"elasticSearch":{"url":"https:\/\/searchapi.dev.finra.org\/search"},"ajax":[],"user":{"uid":0,"permissionsHash":"ef4ef46b952a8b96490e7d7d475bd2d7a84872de21be94cdc109b583b7dab4d9"}}</script> <script src="/core/assets/vendor/jquery/jquery.min.js?v=3.7.0"></script> <script src="/core/assets/vendor/once/once.min.js?v=1.0.1"></script> <script src="/core/misc/drupalSettingsLoader.js?v=10.1.8"></script> <script src="/core/misc/drupal.js?v=10.1.8"></script> <script src="/core/misc/drupal.init.js?v=10.1.8"></script> <script src="/core/misc/debounce.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/version-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/data-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/disable-selection-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/form-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/jquery-patch-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/scroll-parent-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/unique-id-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/focusable-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/ie-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/keycode-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/plugin-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/safe-active-element-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/safe-blur-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/widget-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/labels-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/widgets/controlgroup-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/form-reset-mixin-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/widgets/mouse-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/widgets/checkboxradio-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/widgets/draggable-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/widgets/resizable-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/widgets/button-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/jquery.ui/ui/widgets/dialog-min.js?v=10.1.8"></script> <script src="/core/assets/vendor/tabbable/index.umd.min.js?v=6.1.2"></script> <script src="/themes/custom/finra_bootstrap_sass/js/cookie-preferences.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/cookie-banner-config.js?snddqv"></script> <script src="https://static.addtoany.com/menu/page.js" async></script> <script src="/modules/contrib/addtoany/js/addtoany.js?v=10.1.8"></script> <script src="/core/misc/progress.js?v=10.1.8"></script> <script src="/core/assets/vendor/loadjs/loadjs.min.js?v=4.2.0"></script> <script src="/core/misc/announce.js?v=10.1.8"></script> <script src="/core/misc/message.js?v=10.1.8"></script> <script src="/core/misc/ajax.js?v=10.1.8"></script> <script src="/core/misc/displace.js?v=10.1.8"></script> <script src="/core/misc/jquery.tabbable.shim.js?v=10.1.8"></script> <script src="/core/misc/position.js?v=10.1.8"></script> <script src="/core/misc/dialog/dialog.js?v=10.1.8"></script> <script src="/core/misc/dialog/dialog.position.js?v=10.1.8"></script> <script src="/core/misc/dialog/dialog.jquery-ui.js?v=10.1.8"></script> <script src="/core/modules/ckeditor5/js/ckeditor5.dialog.fix.js?v=10.1.8"></script> <script src="/modules/custom/finra_cvent_block/js/cvent_widget_handler.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/popper.min.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/bootstrap-multiselect.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/bootstrap.min.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/global.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/breadcrumb.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/odometer.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/transactionWidget.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/finra-core-functions.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/flag_change.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/sidebar.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/js/embed_whitespace.js?snddqv"></script> <script src="/themes/custom/finra_bootstrap_sass/node_modules/%40fortawesome/fontawesome-pro/js/all.min.js?snddqv"></script> <script src="/libraries/drupal-superfish/superfish.js?snddqv"></script> <script src="/libraries/drupal-superfish/jquery.hoverIntent.minified.js?snddqv"></script> <script src="/libraries/drupal-superfish/supposition.js?snddqv"></script> <script src="/libraries/drupal-superfish/supersubs.js?snddqv"></script> <script src="/modules/contrib/superfish/js/superfish.js?v=2.0"></script> <script src="https://ddwa-cdn-us-east-1.ddwa.finra.org/ctl-common/ctl-common.js"></script> <script src="https://ddwa-cdn-us-east-1.ddwa.finra.org/ctl-grid/ctl-grid.js"></script> <script src="https://ddwa-cdn-us-east-1.ddwa.finra.org/app-dynamic-reporting/app-dynamic-reporting.js"></script> <script src="https://ddwa-cdn-us-east-1.ddwa.finra.org/ctl-common/assets/icons/pro-light-svg-icons/faSearch.js"></script> <script type="text/javascript">window.NREUM||(NREUM={});NREUM.info={"beacon":"bam.nr-data.net","licenseKey":"d7b664b4b4","applicationID":"486102969","transactionName":"YF0DMkEAWRcAARddC1kXIAVHCFgKTiYRQRRWVD0IXAVSOCINDUAWWFQNA0E9eQsFBzVdAUB7DghHE1gIDQcRGVpBUQQR","queueTime":3,"applicationTime":557,"atts":"TBoARAkaShk=","errorBeacon":"bam.nr-data.net","agent":""}</script><script>(function(){function c(){var b=a.contentDocument||a.contentWindow.document;if(b){var d=b.createElement('script');d.innerHTML="window.__CF$cv$params={r:'8e961e8ead8a89aa',t:'MTczMjc1MjQ2My4wMDAwMDA='};var a=document.createElement('script');a.nonce='';a.src='/cdn-cgi/challenge-platform/scripts/jsd/main.js';document.getElementsByTagName('head')[0].appendChild(a);";b.getElementsByTagName('head')[0].appendChild(d)}}if(document.body){var a=document.createElement('iframe');a.height=1;a.width=1;a.style.position='absolute';a.style.top=0;a.style.left=0;a.style.border='none';a.style.visibility='hidden';document.body.appendChild(a);if('loading'!==document.readyState)c();else if(window.addEventListener)document.addEventListener('DOMContentLoaded',c);else{var e=document.onreadystatechange||function(){};document.onreadystatechange=function(b){e(b);'loading'!==document.readyState&&(document.onreadystatechange=e,c())}}}})();</script></body> </html>