13 NYCRR 10.7 — read free

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Annual renewal for FINRA member broker-dealers

Compiled text through Jan 15, 2026

No later Register activity identified in this check.

Dates and status

Compiling agency: Department of Law
Text status: Source receipt
Compiled text through: Jan 15, 2026
Register checked through: July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status: No later Register activity identified in this check.
Latest notice: TDA-39-24-00005-A · Adopted rule · Jan 15, 2025
Source snapshot: Jun 6, 2026

(a)An initial single renewal invoice for the renewal of broker-dealer and salesperson's registrations will be sent by the CRD system to each firm before the end of each year.

(b)Each broker-dealer shall pay the invoice amount, pursuant to the fee schedule set forth in this Part, directly to the FINRA before the payment date indicated on the renewal invoice.

State Register activity

3 rulemakings · 5 notices

Standard Utility Allowances (SUAs) for the Supplemental Nutri- tion Assistance Program (SNAP).
TDA-39-24-00005Office of Temporary and Disability AssistancePart-level action
The Register recorded this action against the whole Part, which includes this section (13 NYCRR Part 10).
1. Adopted ruleTDA-39-24-00005-A
  Amendment of section 387.12(f)(3)(v)(a)-(c) of Title 18 NYCRR.
  Register Jan 15, 2025 · Filed Dec 31, 2024 · Effective Jan 15, 2025
  Register PDF, pp. 14–84
Investment advisers defined under General Business Law, section 359-eee.
LAW-15-20-00017Department of LawPart-level action
The Register recorded this action against the whole Part, which includes this section (13 NYCRR Part 10).
1. Adopted ruleLAW-15-20-00017-A
  Amendment of Part 11 of Title 13 NYCRR.
  Register Dec 2, 2020 · Filed Nov 17, 2020 · Effective Feb 2, 2021
  Register PDF, pp. 33–38
2. Proposed ruleLAW-15-20-00017-P
  Amendment of Part 11 of Title 13 NYCRR.
  Register Apr 15, 2020
  Register PDF, pp. 14–16
Brokers, dealers and salespersons defined under General Busi- ness Law section 359-e.
LAW-15-20-00018Department of LawPart-level action
The Register recorded this action against the whole Part, which includes this section (13 NYCRR Part 10).
1. Adopted ruleLAW-15-20-00018-A
  Amendment of Part 10 of Title 13 NYCRR.
  Register Dec 2, 2020 · Filed Nov 17, 2020 · Effective Dec 2, 2020
  Register PDF, pp. 38–42
2. Proposed ruleLAW-15-20-00018-P
  Brokers, dealers and salespersons defined under General Busi- ness Law, section 359-e.
  Amendment of Part 10 of Title 13 NYCRR.
  Register Apr 15, 2020
  Register PDF, pp. 16–19

State Register notices matched to this citation. This is Register status evidence, not compiled regulation text: a notice does not by itself amend the text shown here.

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Annual renewal for FINRA member broker-dealers

State Register activity

Standard Utility Allowances (SUAs) for the Supplemental Nutri- tion Assistance Program (SNAP).

Investment advisers defined under General Business Law, section 359-eee.

Brokers, dealers and salespersons defined under General Busi- ness Law section 359-e.