Amendment to NASD Code of Arbitration Procedure Rule 10333 Relating to Member Surcharges, and Hearing and Prehearing Process Fees; Immediate Effectiveness Requested; and Notice of Withdrawal of SR-NASD-2001-52
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to amend Rule 10333 of the Code of Arbitration Procedure to raise member surcharges, and hearing and prehearing process fees paid by members.
Title | Format - Size | Status |
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Approval Order | PDF - 43.56 KB | |
Text of proposed rule change | PDF - 45.99 KB |