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Trading Alert

MIAX Options

November 25, 2019 | 02:43 PM

FINRA Arbitration Rule Change: Notice of Filing of 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 is proposing to amend the 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.

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.