Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Reflect Adjustments to Section II.A. (FINRA Fees) and Section II.B. (Registration and Continuing Education Fees)
Published Date: 2/4/2026
Notice
Summary
BOX Exchange is updating its fee schedule to change several FINRA-related fees. Some fees, like the Series 57 exam and continuing education, go up right away, while others, like fingerprinting and processing fees, increase starting January 1, 2028. These changes affect anyone registering or renewing licenses through BOX and could mean paying a bit more soon or in the near future.
Analyzed Economic Effects
7 provisions identified: 1 benefits, 6 costs, 0 mixed.
FINRA Annual Processing Fee Becomes Tiered
The FINRA Annual System Processing Fee listed on BOX changes from a flat $70 to a tiered structure: 1–5 registrations $70; 6–20 $95; 21–40 $110; 41+ $125. Those tiered rates are effective beginning in 2026, and the tiered amounts will increase on January 1, 2028 to: 1–5 $100; 6–20 $125; 21–40 $140; and 41+ $155.
Series 57 Exam Fee Increase
The Series 57 examination fee listed on BOX is updated from the outdated $80 amount to $105, and this change is operative upon filing (January 22, 2026).
Continuing Education Fee Rises
The Continuing Education regulatory element fee increases from $18 to $25 and is operative upon filing (January 22, 2026). The fee is assessed to each individual required to complete the Regulatory Element.
Fingerprinting Processing Fees Increase
BOX's Fee Schedule reflects increases in FINRA fingerprinting processing fees (combined FINRA + FBI charges), with operative increases designated for January 1, 2028. Examples: first card electronic rises from $31.25 to $38; first card non-electronic from $41.25 to $52; second card electronic $20 to $28; second non-electronic $30 to $42; third card electronic $31.25 to $38; third non-electronic $41.25 to $52; and processing via another SRO from $30 to $42.
Web CRD Processing Fee Goes Up
The FINRA Web CRD Processing Fee listed on BOX will increase from $125 to $175 for each initial or transfer Form U4 filed, and that increase is designated to become operative January 1, 2028.
Disclosure Processing Fee Increase
The FINRA Disclosure Processing Fee listed on BOX will increase from $155 to $215 for initial or amended filings that include disclosure events, and that increase is designated to become operative January 1, 2028.
FBI Fingerprint Fee Reduced to $10
The document notes that effective January 1, 2025, the FBI fingerprint fee for both electronic and hardcopy fingerprint transactions was reduced to $10 per charged submission. This FBI fee is a component of the combined fingerprinting processing fees shown on BOX's Fee Schedule.
Your PRIA Score
Personalized for You
How does this regulation affect your finances?
Sign up for a PRIA Policy Scan to see your personalized alignment score for this federal register document and every other regulation we track. We analyze your financial profile against policy provisions to show you exactly what matters to your wallet.
Key Dates
Department and Agencies
Take It Personal
Get Your Personalized Policy View
Start a Free Government Policy Watch to see how policy affects your household, then upgrade to PRIA Full Coverage for year-round monitoring.
Already have an account? Sign in