Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

7100A. Minor Modifications in Charges

This rule is no longer applicable. NASD Rule 7100A has been superseded by FINRA Rule 7570. Please consult the appropriate FINRA Rule.

(a) To compensate for minor variations in annual net income, the Board of Governors of NASD may increase or decrease the total charges in this Schedule by 10% from the base charges as adopted on July 24, 2002 upon filing such change with the Commission pursuant to Section 19(b)(3) of the Act.

(b) To facilitate the development of new information services and uses under appropriate terms and conditions, arrangements of limited duration, geography and/or scope may be entered into with Broker/Dealers, Vendors and other persons which may modify or dispense with some or all of the charges contained in this Rule or the terms and conditions contained in standard agreements. The arrangements contemplated will permit the testing and pilot operation of proposed new information services and uses to evaluate their impact on and to develop the technical, cost and market research information necessary to formulate permanent charges, terms and conditions for filing with and approval by the Commission.

Adopted by SR-NASD-2002-97 eff. July 29, 2002.

No Results Found

No Results Found

No Results Found

No Results Found