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Trading Alert

MIAX Emerald

May 13, 2019 | 03:58 PM

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

FINRA has received approval to amend the FINRA Code of Arbitration Procedure for Participant and Industry Disputes to expand the 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 by rule to inform Members of rule changes to FINRA’s arbitration rules published by the Securities and Exchange Commission.

For further details please refer to:

Regulatory inquiries should be directed to Regulatory@miaxglobal.com or (609) 897-7309.