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Financial Services Industry Filing Fees

Ballard Spahr LLP

JAMS adopts mass arbitration procedures and guidelines

Ballard Spahr LLP on

After several years of refusing to adopt special rules applicable in mass arbitration proceedings, JAMS announced that it has issued Mass Arbitration Procedures and Guidelines and a Mass Arbitration Procedures Fee Schedule...more

Troutman Pepper

AAA Adopts New Mass Arbitration Rules

Troutman Pepper on

On January 15, the American Arbitration Association (AAA) issued amended Mass Arbitration Supplementary Rules and new Consumer Mass Arbitration and Mediation Fee Schedules (collectively, the New Rules). The New Rules will...more

Mayer Brown

SEC Adopts Amendments to Change the Format and Procedure on Filing Fee Disclosures

Mayer Brown on

The Securities and Exchange Commission (“SEC”) recently implemented amendments to most fee-bearing forms and related rules with a stated goal of modernizing filing fee disclosure and enhancing the validation speed and...more

Morgan Lewis

SEC Adopts Amendments to Filing Fee Payment Methods, Disclosure Requirements, and Offsets

Morgan Lewis on

The US Securities and Exchange Commission (SEC) has adopted amendments that allow for new payment methods for filing fees, including Automated Clearing House (ACH) payments and debit and credit card payments; revise most...more

Goodwin

SEC Adopts Amendments to Modernize Filing Fee Disclosure and Payment Methods

Goodwin on

In This Issue. The U.S. Securities and Exchange Commission (SEC) adopted amendments to modernize filing fee disclosure and payment methods; the Financial Industry Regulatory Authority (FINRA) announced an examination of...more

Goodwin

SEC Stays Busy With Amendments And Extensions To Various Rules, Definitions And Disclosures

Goodwin on

In the News. The Securities and Exchange Commission (SEC) adopted final rules to update and expand the statistical disclosures that bank and savings and loan registrants must provide to investors for the first time in 30...more

Goodwin

Financial Services Weekly News: OCIE Issues Risk Alert On Investment Adviser Principal And Agency Cross Trading Compliance

Goodwin on

In This Issue. The Securities and Exchange Commission (SEC) issued a risk alert on investment adviser principal and agency cross trading compliance issues, published disclosure interpretations relating to the Inline XBRL...more

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