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13903. Process Fees Paid by Members

(a) Each member that is a party to an arbitration in which more than $25,000, exclusive of interest and expenses, is in dispute must pay non-refundable process fee, due at the time the parties are sent arbitrator lists in accordance with Rule 13403(b), as set forth in the schedule below.

Process Fee Schedule

13902. Hearing Session Fees, and Other Costs and Expenses

(a) Hearing Session Fees

(1) Hearing session fees will be charged for each hearing session. The total amount chargeable to the parties for each hearing session is based on the amount in dispute, as specified in the schedule below. In the award, the panel will determine the amount of each hearing session fee that each party must pay.

Hearing Session Fees

13901. Member Surcharge

(a) A surcharge in the amount indicated in the schedule below will be assessed against each member that:

(1) Files a claim, counterclaim, cross claim, or third party claim under the Code;

(2) Is named as a respondent in a claim, counterclaim, cross claim, or third party claim filed and served under the Code; or

(3) Employed, at the time the dispute arose, an associated person who i

13900. Fees Due When a Claim Is Filed

(a) Fees for Claims Filed by Associated Persons

(1) Associated persons who file a claim, counterclaim, cross claim or third party claim must pay a filing fee in the amount indicated in the schedule below.

Filing Fees for Claims Filed by Associated Persons

12903. Process Fees Paid by Members

(a) Each member that is a party to an arbitration in which more than $25,000, exclusive of interest and expenses, is in dispute must pay a non-refundable process fee, due at the time the parties are sent arbitrator lists in accordance with Rule 12402(c) or Rule 12403(b), as set forth in the schedule below.

12902. Hearing Session Fees, and Other Costs and Expenses

(a) Hearing Session Fees

Hearing Session Fees

12901. Member Surcharge

(a) Member Surcharge

(1) A surcharge in the amount indicated in the schedule below will be assessed against each member that:

(A) Files a claim, counterclaim, cross claim, or third party claim under the Code;

(B) Is named as a respondent in a claim, counterclaim, cross claim, or third party claim filed and served under the Code; or

12900. Fees Due When a Claim Is Filed

(a) Fees for Claims Filed by Customers, Associated Persons and Other Non-Members

(1) Customers, associated persons, and other non-members who file a claim, counterclaim, cross claim or third party claim must pay a filing fee in the amount indicated in the schedule below.

Filing Fees for Claims Filed by Customers, Associated Persons,
and Other Non-Members

Regulatory Notice 20-16

Summary

The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all their staff to remote work environments and implement remote supervisory practices.

2016050948201 Stifel, Nicolaus & Company, Incorporated CRD 793 AWC sl (2020-1593303569701).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050948201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stifel, Nicolaus & Company, Incorporated, Respondent Member Firm CRD No. 793 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Stifel, Nicolaus & Company, Incorporated (“Stifel” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

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