Regulatory Notice 17-39

SEC Approves the CAT Fee Dispute Resolution Process

Rule Implementation Date: December 1, 2017 (Note: the CAT Fee Dispute Resolution Process will not be in effect until CAT fees are operative.)

Summary

The SEC approved Rule 6898 to establish the procedures for resolving potential disputes related to CAT fees charged to industry members. This rule will be implemented on December 1, 2017; however, the CAT Fee rules currently are pending and not yet operative. FINRA will provide additional information in a Regulatory Notice promptly following the adoption of the CAT fees.

Questions concerning this Notice should be directed to Julia Bogolin, Counsel, Office of General Counsel, at (202) 728-8111.