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.

TitleFormat - SizeStatus
Approval OrderPDF - 43.56 KB
Text of proposed rule changePDF - 45.99 KB