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Regulatory Alert

MIAX Options

March 15, 2018 | 01:02 PM

Rule Change Notice - FINRA Arbitration Rules 12214, 12904, 13214 and 13904

FINRA is proposing to amend FINRA Rules 12214(e)(1) and 12904(g)(5) of the Code of Arbitration Procedure for Customer Disputes and FINRA Rules 13214(e)(1) and 13904(g)(5) of the Code of Arbitration Procedure for Industry Disputes to eliminate the $400 fee for an explained decision. 

In accordance with the incorporation by reference of FINRA’s arbitration rules, MIAX Options 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 Options Regulatory Circular 2018-15 for further details.

Questions should be directed to the Regulatory Department at (609) 897-7309 or Regulatory@miaxglobal.com.