MIAX Pearl Options Exchange FINRA Rule Filing Circulars


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October 31, 2023

MIAX Pearl RC-2023-51

FINRA Proposal to Amend the Codes of Arbitration Procedure and Code of Mediation Procedure to Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations

September 29, 2023

MIAX Pearl RC-2023-47

FINRA Notice of Approval To Amend the Codes of Arbitration Procedure Governing the Arbitrator List-Selection Process and Procedural Rules

April 20, 2023

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

January 13, 2023

MIAX Pearl RC-2023-03

FINRA Proposal 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

November 16, 2022

MIAX Pearl RC-2022-60

FINRA Proposal to Amend the Codes of Arbitration Procedure to Modify the Current Process Relating to the Expungement of Customer Dispute Information

September 30, 2022

MIAX Pearl RC-2022-51

Proposed Rule Change To Change References in the Codes of Arbitration Procedure From the Neutral List Selection System to the List Selection Algorithm

August 15, 2022

MIAX Pearl RC-2022-45

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