104 0 obj <> endobj Source note: Costs were taken from SEC filings for US IPOs on major exchanges from 2015 – June 2020. FINRA publishes Notices to provide firms with timely information on a variety of issues. Securities that are excluded from underwriting compensation pursuant to Rule 5110(d)(5) are also subject to the lockup provision, Average range of going public costs $9.5M - $13.1M Underwriting fee Legal fees Accounting fees Printing fees SEC registration FINRA Exchange listing Total miscellaneous Each section of the wheel highlights a corresponding cost range. h�bbd``b`1�{��1��q��@\ !� b� �i V)H'���Z$X�@:����AH�n��7�`NO�W��� ;�@�[@,� Certificate of Elimination of the Series A Convertible Preferred Stock of THE NASDAQ OMX Group, Inc. FINRA Rule 2241(a)(11)(A) (list of research‐ related communications that do not fall within the definition of “research report” under FINRA Rule 2241); and Other research that does not meet the definition of “research report” under FINRA Rule 2241(a)(11),2 provided that the File a complaint about fraud or unfair practices. Contrary to popular belief, the legal fees related to pursuing a claim through FINRA arbitration are not entirely onerous. Need Help? To report on abuse or fraud in the industry, FinPro (The Financial Professional Gateway), Securities Industry Essentials Exam (SIE), Financial Industry Networking Directory (FIND), Schedule A to the By-Laws of the Corporation, Section 8 — Service Charge for Processing Extension of Time Requests. Limited business broker-dealer : Any broker-dealer whose authorization to engage in the securities business is limited solely to the purchase and sale of investment company/variable contracts securities and direct participation program securities. $b���Y������|� �K� [HOT] Read Latest COVID-19 Guidance, All Aspects... [SCHEDULE] Upcoming COVID-19 Webinars & Online Programs [GUIDANCE] COVID-19 and Force Majeure Considerations 34-87470; File No. (Release No. FINRA Filing Fee Schedule Advisers Registering or Registered with the SEC. IPO Allocation Rule: As defined under FINRA Rule 5131. Additionally, you may need to pay some fees for other incidental costs as the process moves forward. Amended by SR-FINRA-2012-029 eff. Understanding Securities Registration On The Series 63 Exam Uniform Securities Exam. The current fee rate for 10/1/2020 to 9/30/2021 is: $109.10 per $1,000,000. FINRA Investor Complaint Center; Issues Pending Suspension or Delisting; Nasdaq.com; Noncompliant Companies; Penny Stock List; Other Online Resources. Initial public offering (IPO) or stock market launch is a type of public offering in which shares of a company are sold to institutional investors and usually also retail (individual) investors. 0 For more detail, go to Industry Code Rule 13802. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200. The term “new issue” has the same definition provided in FINRA Rule 5130(i)(9), and the definition excludes the same offerings excluded under FINRA Rule 5130(i)(9). Filing Fees—All Filings D2.D.7: Proposed Maximum Aggregate Offering Price (PMAOP), including any Overallotment Option The system calculates the FINRA filing fee when the PMAOP is entered. 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