Nasdaq GEMX Updates Fees for Non-FINRA Member Training
Published Date: 1/23/2026
Notice
Summary
Nasdaq GEMX is updating the fees it charges for FINRA registration and education for employees of its members who aren’t FINRA members. These changes take effect right away and might slightly change how much some folks pay to stay registered and trained. If you’re part of GEMX but not a FINRA member, this update is for you!
Analyzed Economic Effects
2 provisions identified: 0 benefits, 2 costs, 0 mixed.
Tiered FINRA System Processing Fee
If you are an employee of a GEMX member who is not a FINRA member, the FINRA Annual System Processing Fee listed on GEMX's pricing schedule changes from $70 to tiered amounts as of January 2026: $70 for registration with 1–5 securities regulators, $95 for 6–20, $110 for 21–40, and $125 for 41 or more. GEMX is only listing these fees on its schedule and is not collecting or keeping the fees; FINRA will collect them via Web CRD.
Continuing Education Session Fee Increase
If you are an employee of a GEMX member who is not a FINRA member, the Continuing Education Regulatory Element Session Fee listed on GEMX's pricing schedule increases from $18 to $25 starting in January 2026. GEMX will list the fee but will not collect or retain it; FINRA collects the fee via Web CRD.
Personalized for You
How does this regulation affect your finances?
Personalize government policy and PRIA will tell you what this federal register document means for your household, plus every other regulation we track. PRIA reads each provision against your financial profile to show you exactly what matters to your wallet.
Key Dates
Department and Agencies
Related Federal Register Documents
2026-17183, Regulation Crypto Assets
The Securities and Exchange Commission ("Commission") is proposing new rules to create a tailored offering regime for certain investment contracts involving crypto assets. The proposed offering regime is intended to facilitate capital formation and accommodate innovation within the crypto asset markets while, at the same time, ensuring that investors are adequately protected and provided with the information they need to make informed investment decisions. The proposed rules would be set forth in a new regulation titled "Regulation Crypto Assets" and would include two exemptions from the registration requirements of section 5 of the Securities Act of 1933. The first exemption would permit offerings of up to $5 million during a four-year period. The second exemption would permit offerings of up to $75 million during each 12-month period. Under both exemptions, issuers would be required to make certain principles-based narrative disclosures available to their investors. In addition, issuers under the second exemption would be required to provide financial statements and would be subject to ongoing reporting requirements. Issuers that rely on these exemptions would remain subject to the antifraud and antimanipulation provisions of the Federal securities laws. The proposed rules also would include a conditional safe harbor from the term "investment contract" in the definitions of "security" in the Securities Act of 1933 and the Securities Exchange Act of 1934. If the conditions of that proposed safe harbor are satisfied, then a crypto asset would be deemed not to be subject to an investment contract for purposes of those definitions of "security."
2026-12163, The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS
The SEC wants to scrap some old rules that stop stocks from being traded at worse prices and prevent confusing market quotes. This change affects stock traders and exchanges, aiming to simplify trading and possibly speed things up. If you want to share your thoughts, you’ve got until August 17, 2026, so don’t miss out!
2026-10373, Registered Offering Reform
The SEC wants to make it easier and cheaper for more companies to sell their stocks and bonds to the public. They’re opening up special forms and benefits to more businesses, updating rules to be more modern, and cutting red tape by overriding some state rules. If you’re a company planning to raise money, these changes could speed things up and save you money, with feedback due by July 27, 2026.
2026-10222, Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies
The SEC is making it easier for companies that report their finances by simplifying their categories into just two groups: big and small filers. Smaller companies, including emerging growth ones, will get more time to file reports and enjoy simpler rules, while big companies keep stricter standards. These changes aim to save time and money, with feedback open until July 20, 2026.
2026-07651, Concept Release on Consolidated Audit Trail and Other Audit Trails and Data Sources
The SEC wants your thoughts on how it tracks stock market trades using the Consolidated Audit Trail and other data tools. They’re thinking about updating rules to keep up with new tech, privacy, and security needs, and to make sure the system is fair and cost-effective. If you’re involved in the stock market or data tracking, speak up by June 22, 2026!
2026-17058, Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering
Previous / Next Documents
Previous: 2026-01204, National Cancer Institute; Notice of Meeting
The National Cancer Institute is hosting a hybrid meeting on March 18, 2026, to talk about their latest cancer research and clinical trials. Anyone interested can join in person or online, share their thoughts, and learn about new plans that could impact cancer treatments. This is a great chance for patients, researchers, and the public to get involved and stay updated on important cancer research progress.
Next: 2026-01206, Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 1.1 (Definitions) To Add New Designation “L” to the Definition of “Capacity”
Cboe C2 Exchange just added a new label “L” to their rule about “Capacity,” which means they’re updating how they describe certain trading roles. This change affects traders and firms using the Exchange and kicks in right away with no extra costs. It’s a quick tweak to keep things clear and running smoothly!