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Advertising and Sales Literature; 12-32; 06-48; FYI, June 2001; 98-97
Arbitration and Mediation; 08-45; 04-60; 03-64; 01-70; 00-64; 99-84; 99-23; 98-61; 98-01; 97-71 Branch Office Annual Registration; 12-32
Branch Office Registration Fee; 06-25 Branch Office System Processing Fee; 06-25 Chicago Board of Options Exchange; FYI, July 1999 Company-Related Actions; 11-09; 10-38 Continuing Membership Application; 13-11; 12-32
Corporate Financing; 12-32; 07-05; 99-50; FYI, January 1999
CRD/IARD Renewals; 03-01; 02-67; 02-48; FYI, February 2002; 02-03; 01-75; FYI, February 2001 Disclosure Filing; 12-32;
Duplicate; 04-04
Examinations, NASD; 04-73 Examinations, NYSE; 99-75 Extension of Time Requests Fee; 06-30 Fee-Based Compensation; 03-68
Finders Fees; 97-11
Fingerprint Processing Fees; 12-32; IN 9/20/07; 03-41
Form Filing Fees; FYI, December 2000
Gross FOCUS; 08-07 Initial/Transfer Registration; 12-32 Late Disclosure; 12-32; Late Fees; 04-09; 01-54
Maintenance Fees; 03-61; 03-01 Mass Transfer Registration; 12-32
NASD Regulatory Fee;02-63; 02-41; 02-09
Nebraska Fees; FYI, July 1999 New Member Application; 13-11; 12-32
North Dakota Fees; FYI, July 1999
Pennsylvania Fees; FYI, July 1998
Performance Fees; 01-24 Qualification Examinations; 08-61
Referral Fees; 97-11 Registration; 08-07
Regulatory; 08-07; 05-11 SEC Transaction Fees; 04-63; 97-62; 96-81 Section 31 Fee; IN 1/8/08; IN 10/5/07 System Processing; 12-32
TRACE Fees; IN 3/8/12; 10-23; 10-14; 02-81
Trading Activity Fee; 12-31; 08-37; 03-43; 03-30; 02-75; 02-63; 02-41
Unpaid Fees; 02-83
Utah Fees; FYI, July 1999
Variable Life Settlements; 09-42 West Virginia Fees; FYI, June 1997
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