FINRA Regulatory Notice 25-03

Expedited Processing Fee (EPF) for Name Verification and Asset Transfer Protocol (NVATP)

Issued: December 3, 2025
Effective: January 1, 2026
Contact: NVATP Compliance Unit

I. Introduction to the Expedited Processing Fee (EPF)

This document provides a focused explanation of the Expedited Processing Fee (EPF) within the mandatory Name Verification and Asset Transfer Protocol (NVATP). The EPF is a specialized service designed to significantly accelerate the regulatory review timeline for time-critical asset transfers.

Key Point: The EPF is the only mechanism available to reduce the mandatory 15-business-day Regulatory Review Period to an accelerated 5-business-day period.

II. EPF Details, Objection Handling, and Confirmation

A. Expedited Processing Fee (EPF) -

The Expedited Processing Fee (EPF) is an optional service designed to reduce the mandatory 15-business-day Regulatory Review Period to an accelerated 5-business-day period. This is achieved through the assignment of a dedicated, senior compliance officer and the prioritization of your file in the cross-referencing and authority consultation queues.

the EPF is necessary and cannot be removed. While the EPF is technically listed as 'Optional' in the fee schedule, it is a critical component for transactions with time-sensitive closing dates or those involving assets with volatile market values. The standard 15-day review period is a regulatory minimum and cannot be shortened Furthermore, the EPF is the only mechanism that guarantees the Certificate of Name Verification (CNV) will be issued within the accelerated timeframe. and not having Different in the amount For transactions where the asset transfer must be completed by a specific deadline, the EPF effectively becomes a mandatory requirement to ensure the timely issuance of the CNV, which is the final confirmation required for the transfer to proceed.

Confirmation: The EPF amount is $8,000.00 CAD. Payment of this fee confirms the commitment to the 5-business-day review timeline and ensures the Certificate of Name Verification (CNV) is prioritized for issuance upon successful completion of the review.
B. Fee Summary and CNV Link
Fee Type Description & CNV Confirmation Amount (CAD) Status
Expedited Processing Fee (EPF) Reduces Regulatory Review Period from 15 to 5 business days. Prioritizes the issuance of the **Certificate of Name Verification and securing the full amount from changing. (CNV)**. $8,000.00 Optional(Mandatory for time-sensitive and amount transfers)
Important: The EPF is refundable.