MIAX Options Exchange: Rule Change Notices - FINRA Arbitration Rules

The following MIAX Regulatory Circulars describe changes to certain FINRA Code of Arbitration Procedures for Customer and Industry Disputes.

• FINRA is proposing to amend Rule 12403 of its Code of Arbitration Procedure for Customer Disputes relating to the panel selection process in arbitration. Please refer to MIAX Regulatory Circular 2016-31 for further details.
• FINRA has received approval to amend Rule 12904, Code of Arbitration Procedure for Customer Disputes and Rule 13904, Code of Arbitration Procedure for Industry Disputes. Please refer to MIAX Regulatory Circular 2016-32 for further details.
• FINRA has filed to amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to require certain parties to use the FINRA Office of Dispute Resolution’s Party Portal to file initial statements of claim and to file and serve pleadings and other documents on FINRA or any other party. Please refer to MIAX Regulatory Circular 2016-33 for further details.
• FINRA has filed to amend Rule 12504, Code of Arbitration Procedure for Customer Disputes and Rule 13504, Code of Arbitration Procedure for Industry Disputes relating to motions to dismiss in arbitration. Please refer to MIAX Regulatory Circular 2016-34 for further details.