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Trading Alert

MIAX Emerald

March 05, 2020 | 05:13 PM

FINRA Arbitration Rule Change: Order Approving a Proposed Rule Change To Amend FINRA Rule 12000 Series To Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive

FINRA has received approval to amend the FINRA Code of Arbitration Procedure for Customer Disputes to expand a customer’s options to withdraw an arbitration claim if a member or an associated person becomes inactive before a claim is filed or during a pending arbitration. In addition, the proposed amendments would allow customers to amend pleadings, postpone hearings, request default proceedings and receive a refund of filing fees in these situations.

For further details, please refer to the following:

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