Regulatory Alert
MIAX Pearl
February 22, 2018 | 12:55 PM
Rule Change Notice - FINRA Arbitration Rules 12600, 12800, 13600 and 13800
FINRA is proposing to amend FINRA Rules 12600 and 12800 of the Code of Arbitration Procedure for Customer Disputes and FINRA Rules 13600 and 13800 of the Code of Arbitration Procedure for Industry Disputes to amend the hearing provisions to provide an additional hearing option for parties in arbitration with claims of $50,000 or less, excluding interest and expenses.
In accordance with the incorporation by reference of FINRA’s arbitration rules, MIAX PEARL is required to inform its Members of rule changes to FINRA’s arbitration rules published by the Securities and Exchange Commission.
Please refer to MIAX PEARL Regulatory Circular 2018-06 for further details.
Questions should be directed to the Regulatory Department at (609) 897-7309 or Regulatory@miaxglobal.com.