Regulatory Alert
MIAX Sapphire
November 14, 2024 | 04:41 PM
Approved Rule Change to Amend FINRA Rule 13606 (Record of Proceedings) to Provide Customers Access to a Copy of the Official Record of an Expungement Hearing
The Securities and Exchange Commission has approved an amendment to FINRA Rule 13606 to have FINRA Dispute Resolution Services provide an official record copy of a Rule 13805 expungement hearing, and any transcription, to requesting customers who attend and participate in the expungement hearing, or who provide their written position on the expungement request.
Please refer to the following Regulatory Circulars for more information on the FINRA rule change:
- MIAX Options RC 2024-66
- MIAX Pearl Options RC 2024-63
- MIAX Emerald Options RC 2024-65
- MIAX Pearl Equities RC 2024-15
- MIAX Sapphire Options RC 2024-73