Regulation & law · 10/10/2001

National Association of Securities Dealers, Inc. Filing for Immediate Effectiveness of Proposed Rule Change Regarding Member Surcharges and Fees

The National Association of Securities Dealers, Inc. has filed a proposed rule change with the SEC to amend the NASD Code of Arbitration Procedure, specifically Rule 10333, which deals with member surcharges and hearing and prehearing process fees. The proposed rule change will have immediate effectiveness.