Will the CRD System automatically assess the Late Disclosure Fee at the time the form filing containing the late disclosure is submitted to CRD?
In most cases, the CRD System will automatically assess the Late Disclosure Fee at the time the form filing containing the late disclosure is submitted to CRD. Under certain scenarios, however, Registration and Disclosure Analysts will review the disclosure filing before making a determination on whether to manually assess a Late Disclosure Fee.
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)?
- How will the Late Disclosure Fee be calculated when a single form filing contains more than one late disclosure?
- What form filing types will trigger the Late Disclosure Fee when the reported disclosure is late?
