Regulatory Alert, Trading Alert
MIAX Pearl Equities
September 29, 2023 | 04:40 PM
FINRA Notice of Approval To Amend the Codes of Arbitration Procedure Governing the Arbitrator List-Selection Process and Procedural Rules
FINRA has received approval to amend the Code of Arbitration Procedure for Customer Disputes and Industry Disputes to make changes relating to the arbitrator list selection process, in response to recommendations of independent counsel Lowenstein Sandler LLP. The approved rule change also makes clarifying and technical changes to Procedural Rules.
Please refer to the following Regulatory Circulars for more information on the rule change:
- MIAX Options RC 2023-53
- MIAX Pearl Options RC 2023-47
- MIAX Emerald Options RC 2023-48
- MIAX Pearl Equities RC 2023-15