[ by Howard Haykin ] Costs are increasing for:  advertising reviews (by FINRA), corporate finance registration filings, CRD registration and application filings for firms, branches and associated persons.  This information was publicized earlier in June, when FINRA submitted to the SEC rule changes that were set for immediate effectiveness. Wednesday, FINRA published Regulatory Notice 12-32, neatly summarizing the effective dates and terms & conditions of the new fee rates. Effective Dates:

• 7/2/12: Advertising and Corporate Financing fees.
• 7/23/12: New Membership and Continuing Membership Application fees.
• 1/2/13: CRD fees and Branch Office Annual Registration fees, and related waiver process.

Executive Summary.   So, beginning on each of the above respective dates, it's going to cost firms more to:

• have FINRA review advertising material and to file CorpFin offering documents pursuant to FINRA Rule 5110 (effective July 2, 2012).
• file new member applications, and continuing membership applications   (Effective July 23, 2012).
• to file with Central Registration Depository (CRD or CRD system) - (i) initial/transfer registrations, disclosure filings, system processings, fingerprint processings, mass transfer registrations and late disclosures; and (ii) branch office annual registrations and related waiver processings (effective January 2, 2013).

Text of rule amendments ... effecting these fee changes can be found in attachments to the RegNote:

• Attachment A — Rule amendments re: advertising fees.
• Attachment B — Rule amendments re: corporate financing fees.
• Attachment C — Rule amendments re: fees related to CRD.
• Attachment D — Rule amendments re: membership application process and branch office registration fees.

FINRA Staff Contacts. Direct your questions to:

• Amy Sochard, Director, Advertising Regulation, at (240) 386-4508  (regarding advertising fees);

• Paul Mathews, Director, Corporate Financing Department, or Joani Ward,  Assistant Director, Corporate Financing Department, at (240) 386-4623  (regarding corporate financing fees);

• Mario DiTrapani, Vice President, Registration and Disclosure, at (240) 386-4796 (regarding fees related to CRD and branch office registration);

• Joseph Sheirer, Director and Counsel, Membership Application Program, at  (212) 858-5132 (regarding membership application process fees);

• Office of Finance, Billing Department - at (240) 386-5397; or

• Office of General Counsel at (202) 728-8071.

Once again, for further details, go to:   [FINRA RegNote 12-32, June 2012].