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FINRA Rule Filings

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MIAX Emerald Options Exchange FINRA Rule Filing Circulars

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March 05, 2020

MIAX Emerald RC-2020-06

FINRA Arbitration Rule Change: Order Approving a Proposed Rule Change To Amend FINRA Rule 12000 Series To Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive

March 02, 2020

MIAX Emerald RC-2020-05

Notice of Filing of a Proposed Rule Change to Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes To Apply Minimum Fees to Requests for Expungement of Customer Dispute Information

November 25, 2019

MIAX Emerald RC-2019-87

FINRA Arbitration Rule Change: Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 12000 Series To Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive

May 13, 2019

MIAX Emerald RC-2019-52

FINRA Arbitration Rule Change Notice: Approved Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents

February 13, 2019

MIAX Emerald RC-2019-05

FINRA Arbitration Rule Change Notice: Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents