Personnel Assessment and Gross Income Assessment

The Personnel Assessment and Gross Income Assessment (“GIA”) is designed to stabilize revenues used to support FINRA’s regulatory activities. The GIA is based on a member firm’s gross revenues and has a 7 tiered structure with a minimum of $1,200. The Personnel Assessment (“PA”) is based upon a three tiered rate structure: firms with 1 – 5 registered representatives and principals are assessed $75 each; 6-25 registered persons $70 each and over 26 $65 each.

http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p120008.pdf