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April 20, 2023

MIAX Pearl Equities RC-2023-09

FINRA Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Codes of Arbitration Procedure to Make Various Clarifying and Technical Changes to the Codes, Including in Response to Recommendations in the Report of Independent Counsel Lowenstein Sandler LLP

April 20, 2023

MIAX Pearl Equities RC-2023-08

FINRA Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval 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

MIAX Pearl DA-2021070475701

Notice of Letter of Consent No. 2021070475701 Apex Clearing Corporation

April 20, 2023

MIAX Pearl DA-2021069249708

Notice of Letter of Consent No. 2021069249708 Susquehanna Securities, LLC

April 20, 2023

April 20, 2023

MIAX Options RC-2023-21

FINRA Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Codes of Arbitration Procedure to Make Various Clarifying and Technical Changes to the Codes, Including in Response to Recommendations in the Report of Independent Counsel Lowenstein Sandler LLP

April 20, 2023

MIAX Options RC-2023-20

FINRA Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval 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

MIAX Options DA 2021069249706

Notice of Letter of Consent No. 2021069249706 Susquehanna Securities, LLC

April 20, 2023

April 20, 2023

MIAX Emerald RC-2023-19

FINRA Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Codes of Arbitration Procedure to Make Various Clarifying and Technical Changes to the Codes, Including in Response to Recommendations in the Report of Independent Counsel Lowenstein Sandler LLP