The Securities and Exchange Commission has approved the following FINRA rule changes:
- FINRA Rule 12800(g)(1) permitting customers in paper cases and special proceedings to have Document Production Lists apply to all parties
- FINRA Rule 12800(g)(1)(A) to provide that Document Production Lists apply to arbitrations in which the customer requests an Option One hearing
- FINRA Rule 12800(g)(1)(B) to provide that such would not apply to arbitrations in which the customer requests no hearing or an Option Two special proceeding, unless the customer requests that the Document Production Lists apply to all parties.
Please refer to the following Regulatory Circulars for more information on the FINRA rule changes:
- MIAX Options RC 2024-63
- MIAX Pearl Options RC 2024-60
- MIAX Emerald Options RC 2024-62
- MIAX Pearl Equities RC 2024-14
- MIAX Sapphire Options RC 2024-70
Direct Regulatory inquiries to Regulatory@miaxglobal.com or (609) 897-7309.
