Regulatory Circulars

Consolidated Audit Trail (“CAT”) Full Customer Account Information System (“CAIS”) Production Certification and Compliance Deadlines Extended

Proposed Rule Change to Amend FINRA Rule 13000 Series, Code of Arbitration Procedure for Industry Disputes, To Align the Code with the Ending Forced Arbitration of Sexual Assult and Sexual Harassment Act of 2021

Business Continuity and Disaster Recovery Plans Testing - Member Designation Standards

MIAX Pearl Equities Rules Incorporated by Reference

Net Notional Trade Value Settings and Adjustments by Members and Clearing Members on MIAX Pearl Equities

Business Continuity and Disaster Recovery Plans Testing
Member Designation Standards

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules To Reflect Name Changes to Two FINRA Departments: The Office of Dispute Resolution and the Department of Registration and Disclosure

Update to Order Routing Field Mapping for CAT

Proposed Rule Change To Amend the FINRA Codes of Arbitration Procedure To Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees

Proposed Rule Change to Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to modify the current process relating to the expungement of customer dispute information