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Nasdaq PHLX Regulatory Information

Financial Industry Regulatory Authority (FINRA) Dispute Resolution

Pursuant to Phlx Rule 950, Section 44, Nasdaq PHLX has outsourced its arbitration and mediation program to FINRA Dispute Resolution. To remain in compliance with Section 36 of the Securities and Exchange Act of 1934 and Rule O-12, Nasdaq PHLX is providing a link to the FINRA Dispute Resolution website for your convenience.

This link will enable you to stay informed of any changes that may occur on the FINRAs Code of Arbitration Procedure as well as to review any submissions by FINRA along with the corresponding SEC notices. This link will also allow you to view any proposed or approved FINRA submissions published by the SEC. Written notice to members will be provided whenever any changes are posted on the FINRA Dispute Resolution Rule Filing Page.

National Market System Plans

SEC Penny Pilot Program