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Regulatory Alert

MIAX Emerald

February 13, 2019 | 10:05 AM

FINRA Arbitration Rule Change Notice: Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents

FINRA is proposing to amend the FINRA Code of Arbitration Procedure for Participant and Industry Disputes to expand time for non-parties to respond to arbitration subpoenas and orders of appearance of witnesses or production of documents, and to make related changes to enhance the discovery process for forum users.

MIAX Exchanges are required to inform its Members of rule changes to FINRA’s arbitration rules published by the Securities and Exchange Commission.

For further details please refer to:

Please direct any questions to the Regulatory Department at (609) 897-7309 or Regulatory@miaxglobal.com.