List of Participant Fee Dispute Resolution Rules and an example of such Rules
A CAT Reporter that disputes CAT fees charged to such CAT Reporter and that desires to have an opportunity to be heard with respect to such disputed CAT fees must file this Fee Dispute Resolution Application by submitting it to the FINRA CAT Helpdesk at [email protected].
A CAT Reporter that wishes to petition the Operating Committee to review the Fee Review Hearing Panel’s decision regarding the CAT Reporter’s disputed CAT fees shall file this Petition for Operating Committee Review of Fee Review Hearing Panel Decision by submitting it to the FINRA CAT Helpdesk at [email protected].
CAT Fee Dispute Resolution FAQs
Frequently Asked Questions regarding the fee dispute resolution process.