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FINRA Manual: Contents

Corporate Organization

0100. GENERAL STANDARDS

1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION

2000. DUTIES AND CONFLICTS

3000. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS

4000. FINANCIAL AND OPERATIONAL RULES

5000. SECURITIES OFFERING AND TRADING STANDARDS AND PRACTICES

6000. QUOTATION AND TRANSACTION REPORTING FACILITIES

7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES

8000. INVESTIGATIONS AND SANCTIONS

9000. CODE OF PROCEDURE

10000. CODE OF ARBITRATION PROCEDURE

12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES

PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY

PART II GENERAL ARBITRATION RULES

PART III INITIATING AND RESPONDING TO CLAIMS

PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS

PART V PREHEARING PROCEDURES AND DISCOVERY

PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD

PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD

PART VIII SIMPLIFIED ARBITRATION AND DEFAULT PROCEEDINGS

PART IX FEES AND AWARDS

12900. Fees Due When a Claim Is Filed

12901. Member Surcharge

12902. Hearing Session Fees, and Other Costs and Expenses

12903. Process Fees Paid by Members

12905. Submissions After a Case Has Closed

13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES

14000. CODE OF MEDIATION PROCEDURE

Incorporated NYSE Rules

Incorporated NYSE Rule Interpretations

Immediately Effective Rule Changes Pending SEC Notification

Recently Approved Rule Changes Pending Determination of Effective Date

Connected by Complinet

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Location: FINRA Manual > FINRA Rules > 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES > PART IX FEES AND AWARDS

PART IX FEES AND AWARDS

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Contents:

12900. Fees Due When a Claim Is Filed

12901. Member Surcharge

12902. Hearing Session Fees, and Other Costs and Expenses

12903. Process Fees Paid by Members

12905. Submissions After a Case Has Closed

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