Regulatory Circulars

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

Update to Order Routing Field Mapping for CAT and OATS Reporting

CRD Registration for MIAX PEARL, LLC

Gross Notional Trade Value Settings and Adjustments by Members and Clearing Members on MIAX PEARL Equities

Submission of Notification for Clearly Erroneous Executions or Appeal