Trading Alert, Regulatory Alert
MIAX Pearl Equities
August 30, 2024 | 01:22 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 new amendments to proposed FINRA Rule 12800(g)(1). Proposed Rule 12800(g)(1)(A) would provide that Document Production Lists apply to arbitrations in which the customer requests an Option One hearing. Also, proposed Rule 12800(g)(1)(B) would provide that such would not apply to arbitrations in which the customer requests no hearing or an Option Two special proceeding, unless the customer requests that the Document Production Lists apply to all parties.
Please refer to the following Regulatory Circulars for more information on the amendments:
- MIAX Options RC 2024-51
- MIAX Pearl Options RC 2024-48
- MIAX Emerald Options RC 2024-51
- MIAX Pearl Equities RC 2024-13
- MIAX Sapphire Options RC 2024-39