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MIAX Pearl RC-2023-18
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 RC-2023-17
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
April 20, 2023
MIAX Pearl Equities RC-2023-10
Amendment of Exchange Rule 2622 to Establish Common Procedures for Halting and Resuming Trading in Equity Securities
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
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Notice of Letter of Consent No. 2021070475701 Apex Clearing Corporation
April 20, 2023
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April 20, 2023
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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