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Trading Alert

MIAX Options

December 05, 2016 | 10:12 AM

Approval Notice—FINRA Arbitration Rules

FINRA has received approval to amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to require all parties, except customers who are not represented by an attorney or other person (‘‘pro se customers’’), to use the FINRA Office of Dispute Resolution’s Party Portal to file initial statements of claim and to file and serve pleadings and other documents on FINRA or any other party.

Please refer to MIAX Regulatory Circular 2016-64 for further details.

Questions should be directed to the Regulatory Department at (609) 897-7309 or Regulatory@miaxglobal.com.