Trading Alert, Regulatory Alert

MIAX Emerald

May 28, 2024 | 12:40 PM

Proposed Rule Change to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the Applicability of the Document Production Lists

FINRA has filed a proposed rule change to amend FINRA Rule 12800(g)(1) to give customers in paper cases and special proceedings the option to elect at the time that they initiate an arbitration or, if they are a respondent, no later than the answer due date, whether they want the Document Production Lists to apply to all parties.

Please refer to the following Regulatory Circulars for more information:

Direct Regulatory inquiries to Regulatory@miaxglobal.com or (609) 897-7309.