United States:
Federal Register: SEC Files Proposed Fees For Late Cancellation Of Prehearing Conferences
24 May 2018
Cadwalader, Wickersham & Taft LLP
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The SEC published for comment a proposed FINRA rule
change that would implement fees for the late cancellation of a
prehearing conference.
According to the
proposal, fees would be imposed if a party or parties to a
FINRA arbitration canceled a scheduled conference on short notice
(i.e., within three business days). FINRA would
issue a (i) $100 per-arbitrator fee and (ii) $100 honorarium for
each arbitrator that was scheduled to attend the conference.
Comments regarding the proposed rule change must be submitted by
June 8, 2018.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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