Trading Alert, Regulatory Alert
MIAX Pearl Equities
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:
- MIAX Options RC 2024-33
- MIAX Pearl Options RC 2024-32
- MIAX Emerald Options RC 2024-34
- MIAX Pearl Equities RC 2024-09