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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   Amount of Claim
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   Amount of Claim (exclusive of interest and expenses) Filing Fee $.01 to $1,000 $50
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   Amount of Claim(exclusive of
2268. Requirements When Using Predispute Arbitration Agreements for Customer Accounts
(a) Any predispute arbitration clause shall be highlighted and shall be immediately preceded by the following language in outline form. This agreement contains a predispute arbitration clause. By signing an arbitration agreement the parties agree as follows: (1) All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury,
SR-FINRA-2016-011
Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities
SR-FINRA-2012-048
Proposed Rule Change to Repeal the Changes Described in SR-FINRA-2011-019
Cybersecurity and Technology Management
The Cybersecurity and Technology Management topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Notice to Members 05-06
GUIDANCE Options Position and Exercise Limits Effective Date: February 28, 2005 SUGGESTED ROUTING KEY TOPICS Institutional Legal & Compliance Options Senior Management Trading Training Delta Hedging Exercise Limits Hedge Exemption
Regulatory Notice 10-14
SEC Approves Access to Historic TRACE Data and Related Fees
SR-FINRA-2013-051
Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)