U.S. Equities

New Clearly Erroneous Execution Rule 2621 Effective October 1, 2022

Market Wide Circuit Breaker Testing

Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Modify the Current Process Relating to the Expungement of Customer Dispute Information

Prearranged Trading

Market Wide Circuit Breaker Testing
Member Designation Standards

Amendments to MIAX Rules for Registration Requirements, Continuing Education Requirements, and Electronic Filing Requirements for Uniform Forms

Consolidated Audit Trail (“CAT”) Full Customer Account Information System (“CAIS”) Production Certification and Compliance Deadlines Extended

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