Fee Schedule for Customer Cases
| NASD |
| Amount in Dispute |
|
Claim Filing Fee |
Hearing Session Deposit |
|
|
1 Arb.* |
3 Arbs.** |
|
| $10,000.01 |
- |
$25,000 |
$125 |
$450 |
N/A |
|
| $25,000.01 |
- |
$30,000 |
$150 |
$450 |
$600 |
|
| $30,000.01 |
- |
$50,000 |
$175 |
$450 |
$600 |
|
| $50,000.01 |
- |
$100,000 |
$225 |
$450 |
$750 |
|
| $100,000.01 |
- |
$500,000 |
$300 |
$450 |
$1,125 |
|
| $500,000.01 |
- |
$1,000,000 |
$375 |
$450 |
$1,200 |
|
| $1,000,000.01 |
- |
$3,000,000 |
$500 |
$450 |
$1,200 |
|
| $3,000,000.01 |
- |
$5,000,000 |
$600 |
$450 |
$1,200 |
|
| $5,000,000.01 |
- |
$10,000,000 |
$600 |
$450 |
$1,200 |
|
| Over $10,000,000 |
|
$600 |
$450 |
$1,200 |
|
| *The dispute is resolved by one arbitrator per hearing session, including pre-hearing conferences. |
| **The dispute is resolved by three arbitrators per hearing session. |
|
| ***Fee applies only to pre-hearing conferences with a single arbitrator. |
|
| NYSE |
|
| Amount in Dispute |
|
Claim Filing Fee |
Hearing Session Deposit |
|
| $10,001 |
- |
$30,000 |
$100 |
$400 |
|
| $30,001 |
- |
$50,000 |
$120 |
$400 |
|
| $50,001 |
- |
$100,000 |
$150 |
$500 |
|
| $100,001 |
- |
$500,000 |
$200 |
$750 |
|
| $500,001 |
- |
$5,000,000 |
$250 |
$1,000 |
|
Over $5,000,000 |
|
$300 |
$1,500 |
|
|
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