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MIAX PEARL Finra Rule Filing Circulars

MIAX Pearl

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May 27, 2022
MIAX Pearl Options RC 2022 30
Proposed Rule Change to Amend FINRA Rule 13000 Series, Code of Arbitration Procedure for Industry Disputes, To Align the Code with the Ending Forced Arbitration of Sexual Assult and Sexual Harassment Act of 2021
VIEW DOCUMENT
December 28, 2020
MIAX Pearl Options RC 2020 66
Approved Rule Change to Amend the FINRA Codes of Arbitration Procedure to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees
VIEW DOCUMENT
December 17, 2020
MIAX PEARL RC 2020 62
Approved FINRA Rule Change to Amend FINRA Rules to Reflect Name Changes to Two FINRA Departments: The Office of Dispute Resolution and the Department of Registration and Disclosure
VIEW DOCUMENT
October 26, 2020
MIAX PEARL RC 2020 51
Proposed Rule Change To Amend the FINRA Codes of Arbitration Procedure To Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees
VIEW DOCUMENT
October 06, 2020
MIAX PEARL RC 2020 47
Proposed Rule Change to Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to modify the current process relating to the expungement of customer dispute information.
VIEW DOCUMENT
June 04, 2020
MIAX PEARL RC 2020 19
Approved Rule Change to Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes To Apply Minimum Fees to Requests for Expungement of Customer Dispute Information
VIEW DOCUMENT
March 05, 2020
MIAX PEARL RC 2020 06
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
VIEW DOCUMENT
March 02, 2020
MIAX PEARL RC 2020 05
Notice of Filing of a Proposed Rule Change to Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes To Apply Minimum Fees to Requests for Expungement of Customer Dispute Information
VIEW DOCUMENT
November 25, 2019
MIAX PEARL RC 2019 36
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
VIEW DOCUMENT
May 13, 2019
MIAX PEARL RC 2019 20
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
VIEW DOCUMENT

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