10333. Member Surcharge and Process Fees
This Code was superseded by the Customer Code (Rule 12000 Series) and the Industry Code (Rule 13000 Series) on April 16, 2007, for claims filed on or after that date.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.
Member Surcharge Schedule |
|
Amount in Dispute |
|
$.01–$2,500 |
$150 |
$2,500.01–$5,000 |
$200 |
$5,000.01–$10,000 |
$325 |
$10,000.01–$25,000 |
$425 |
$25,000.01–$30,000 |
$600 |
$30,000.01–$50,000 |
$875 |
$50,000.01–$100,000 |
$1,100 |
$100,000.01–$500,000 |
$1,700 |
$500,000.01–$1,000,000 |
$2,250 |
$1,000,000.01–$5,000,000 |
$2,800 |
$5,000,000.01–$10,000,000 |
$3,350 |
Over $10,000,000 |
$3,750 |
Hearing Process Fee Schedule |
|
Damages Requested |
Hearing Process Fee
|
$1–$25,000 |
$ 0 |
$25,000.01–$50,000 |
$ 1,000 |
$50,000.01–$100,000 |
$ 1,700 |
$100,000.01–$500,000 |
$ 2,750 |
$500,000.01–$1,000,000 |
$ 4,000 |
$1,000,000.01–$5,000,000 |
$ 5,000 |
More than $5,000,000 |
$ 5,500 |
Unspecified |
$ 2,200 |
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Amended by SR-NASD-2003-01 eff. Jan. 13, 2003. Amended by SR-NASD-2001-62 eff. Nov. 19, 2001. Amended by SR-NASD-98-93 eff. Dec. 11, 1998. Amended by SR-NASD-97-96 eff. Jan. 2, 1998. Amended by SR-NASD-97-88 eff. Dec. 11, 1997. Amended by SR-NASD-97-40 eff. July 1, 1997. Amended by SR-NASD-94-74 eff. Dec. 28, 1994. Amended by SR-NASD-94-16 eff. Mar. 31, 1994. Added by SR-NASD-94-11 eff. Feb. 25, 1994. Selected Notices: 87-55, 88-14, 90-47, 94-26, 95-1, 98-1, 01-70, 03-06, 08-57. |