MIAX Pearl Options Exchange FINRA Rule Filing Circulars
March 02, 2020
MIAX PEARL 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 PEARL RC-2019-36
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 PEARL RC-2019-20
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 PEARL RC-2019-07
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
October 22, 2018
MIAX PEARL RC-2018-43
FINRA Arbitration Rule Change Notice: Approved Rule Change to Pay Arbitrators a $200 Honorarium to Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance
August 14, 2018
MIAX PEARL RC-2018-27
Rule Change Notice – Approval for FINRA Arbitration Rules 12500, 12501, 13500 and 13501
July 31, 2018
MIAX PEARL RC-2018-25
FINRA Arbitration Rule Change Notice: Proposed Rule Change to Pay Arbitrators a $200 Honorarium to Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance
May 25, 2018
MIAX PEARL RC-2018-19
Rule Change Notice – Approval for FINRA Arbitration Rules 12600, 12800, 13600 and 13800