Regulatory Alert, Trading Alert

MIAX Emerald

September 29, 2023 | 04:40 PM

FINRA Notice of Approval To Amend the Codes of Arbitration Procedure Governing the Arbitrator List-Selection Process and Procedural Rules

FINRA has received approval to amend the Code of Arbitration Procedure for Customer Disputes and Industry Disputes to make changes relating to the arbitrator list selection process, in response to recommendations of independent counsel Lowenstein Sandler LLP. The approved rule change also makes clarifying and technical changes to Procedural Rules.

Please refer to the following Regulatory Circulars for more information on the rule change:

Regulatory inquiries should be directed to Regulatory@miaxglobal.com or (609) 897-7309.