Does the Late Disclosure Fee apply to Broker-Dealer form filings (e.g., Form BD Amendments)?
Related Questions
- Will more than one Late Disclosure Fee be assessed if a single form filing contains more than one late disclosure (i.e., multiple Disclosure Reporting Pages (DRPs) reporting late disclosures)?
- Will the CRD System automatically assess the Late Disclosure Fee at the time the form filing containing the late disclosure is submitted to CRD?
- What form filing types will trigger the Late Disclosure Fee when the reported disclosure is late?
