Preliminary and Final Annual Fee Summaries

On December 1, NRD generates a Preliminary Annual Fee Summary, a calculation of your firm’s Annual NRD System Fees and Regulatory Fees for the following year. The summary shows you how much will be drawn from your firm’s NRD account on December 31 if the number of registered and non-registered individuals with the firm remains the same.

The Preliminary Annual Fee Summary can be viewed by logging on to NRD and selecting “Annual Fee Summary” under the “Firm Information” tab.

Please note that the Preliminary Annual Fee Summary is only generated once and is not updated to reflect submissions made in December.

At 3:00 PM, Eastern Standard Time on December 31, the NRD system will shut down. At this time NRD will generate the Final Annual Fee Summary, which will show the amount that is being debited from your firm’s NRD account. You can view the Final Annual Fee Summary by selecting “Annual Fee Summary” under the “Firm Information” tab after December 31.