10332. Schedule of Fees for Customer Disputes
This Code was superseded by the Customer Code (Rule 12000 Series) and the Industry Code (Rule 13000 Series) on April 16, 2007, for claims filed on or after that date. The Code remains in effect, however, for cases filed before April 16, 2007.
Customer or Associated Person Claimant |
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Hearing Session Deposit |
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Amount in Dispute (Exclusive of Interest and Expenses) | Claim Filing Fee |
Deposit for Cases to be Decided on the Paper Record |
One Arbitrator1 | Three Arbitrators2 |
$.01–$1,000 |
$ 25 |
$ 25 |
$ 25 |
NA |
$1,000.01–$2,500 |
$ 25 |
$ 50 |
$ 50 |
NA |
$2,500.01–$5,000 |
$ 50 |
$ 125 |
$ 125 |
NA |
$5,000.01–$10,000 |
$ 75 |
$ 250 |
$ 250 |
NA |
$10,000.01–$25,000 |
$125 |
$ 300 |
$ 450 |
NA |
$25,000.01–$30,000 |
$150 |
NA |
$ 450 |
$ 600 |
$30,000.01–$50,000 |
$175 |
NA |
$ 450 |
$ 600 |
$50,000.01–$100,000 |
$225 |
NA |
$ 450 3 |
$ 750 |
$100,000.01–$500,000 |
$300 |
NA |
$ 450 3 |
$1,125 |
$500.000.01–$1,000,000 |
$375 |
NA |
$ 450 3 |
$1,200 |
$1,000,000.01–$3,000,000 |
$500 |
NA |
$ 450 3 |
$1,200 |
$3,000,000.01–$5,000,000 |
$600 |
NA |
$ 450 3 |
$1,200 |
$5,000,000.01–$10,000,000 |
$600 |
NA |
$ 450 3 |
$1,200 |
Over $10,000,000 |
$600 |
NA |
$ 450 3 |
$1,200 |
1 The dispute is resolved by one arbitrator per hearing session, including pre-hearing conferences.
2 The dispute is resolved by three arbitrators per hearing session.
3 Fee applies only to pre-hearing conferences with a single arbitrator.
Member Claimant |
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Hearing Session Deposit |
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Amount in Dispute (Exclusive of Interest and Expenses) | Claim Filing Fee | Deposit for Cases to be Decided on the Paper Record | One Arbitrator1 | Three Arbitrators2 |
$.01–$1,000 |
$ 200 |
$ 25 |
$ 25 |
NA |
$1,000.01–$2,500 |
$ 300 |
$ 50 |
$ 50 |
NA |
$2,500.01–$5,000 |
$ 400 |
$ 125 |
$ 125 |
NA |
$5,000.01–$10,000 |
$ 500 |
$ 250 |
$ 250 |
NA |
$10,000.01–$25,000 |
$ 750 |
$ 300 |
$ 450 |
NA |
$25,000.01–$30,000 |
$1,000 |
NA |
$ 450 |
$ 600 |
$30,000.01–$50,000 |
$1,000 |
NA |
$ 450 |
$ 600 |
$50,000.01–$100,000 |
$1,000 |
NA |
$ 450 3 |
$ 750 |
$100,000.01–$500,000 |
$1,000 |
NA |
$ 450 3 |
$1,125 |
$500.000.01–$1,000,000 |
$1,250 |
NA |
$ 450 3 |
$1,200 |
$1,000,000.01–$5,000,000 |
$2,000 |
NA |
$ 450 3 |
$1,200 |
$5,000,000.01–$10,000,000 |
$2,500 |
NA |
$ 450 3 |
$1,200 |
Over $10,000,000 |
$5,000 |
NA |
$ 4503 |
$1,200 |
1 The dispute is resolved by one arbitrator per hearing session, including pre-hearing conferences.
2 The dispute is resolved by three arbitrators per hearing session.
3 Fee applies only to pre-hearing conferences with a single arbitrator.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Amended by SR-NASD-2000-65 eff. Dec. 31, 2000. Amended by SR-NASD-2000-11 eff. Nov. 1, 2000. Amended by SR-NASD-99-23 eff. March 18, 1999. Amended by SR-NASD-97-79 eff. March 18, 1999. Amended by SR-NASD-95-25 eff. Aug. 1, 1995. Amended by SR-NASD-94-10 eff. May 2, 1995. Amended by SR-NASD-94-75 eff. Jan. 1, 1995. Amended by SR-NASD-90-03 eff. June 18, 1990. Amended eff. Oct. 1, 1984; July 1, 1987; Apr. 1, 1988; May 10, 1989; June 1, 1990. Selected Notices: 99-23, 08-57. |