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Filing Fees › Regulatory Agenda › Financial Industry Regulatory Authority (FINRA)

Alston & Bird

Thinking Ahead: Increased and New FINRA Fees for Public Offering and Private Placement Reviews

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Our Investment Funds Team reviews changes to two fees from the Financial Industry Regulatory Authority (FINRA) that begin July 1, 2025....more

UB Greensfelder LLP

Update on the FINRA Expungement Process

UB Greensfelder LLP on

Earlier this month, the SEC approved the first of several rule changes that FINRA has proposed for the process governing the expungement of customer complaints from a broker’s record. The approved rule change will make it...more

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