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  • Finra Trading Activity Fee Self-reporting Form - Finra

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FINRA Trading Activity Fee Self-Reporting Form Firm Name Mailing Address Check If New Address B/D# Clearing# For the Month of Each member shall report sales of covered securities pursuant to the provisions.

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Individual Renewal Fees (Form U4) SD Tier I: $1,500. SD Tier II: $1,000.

*$0 commission applies to online U.S. exchange-listed stocks and ETFs. A $6.95 commission applies to online trades of over-the-counter (OTC) stocks which includes stocks not listed on a U.S. exchange. Orders executed in multiple lots on the same trading day will be charged a single commission.

FINRA's current TAF fee is $0.000119 per share for covered equity sales, rounded to the nearest penny, and capped at $5.95 per transaction. If a trade is subject to the TAF fee, you will see the fee deducted from sale proceeds on your trade confirmation.

The trading activity fee (TAF) is one of the regulatory fees FINRA assesses to recover the costs of supervising and regulating firms. This includes costs associated with performing examinations, financial monitoring, and FINRA's policy, rulemaking, interpretive and enforcement activities.

The SEC and FINRA trading activity fee (TAF) are fees charged on the sale of any stock. These fees are automatically deducted from the profits of any stock sale and only occur on the sale of stocks.

Effective January 1, 2023, the Trading Activity Fee (TAF) rate for sales of covered equity securities will increase from $0.000130 per share for each sale of a covered equity security to $0.000145 per share, with a corresponding increase to the per-transaction cap for covered equity securities from $6.49 to $7.27.

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© Copyright 1997-2025
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Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
Industries
Forms in Spanish
Localized Forms
State-specific Forms
Forms Kit
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232