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Regulatory Alert

MIAX Options

September 03, 2013 | 04:03 PM

SR-MIAX-2013-42: Additional Rule Violations Incorporated into MIAX Rule 1014

On August 30, 2013, MIAX filed SR-MIAX-2013-42 to incorporate additional Rule violations into MIAX Rule 1014 Imposition of Fines for Minor Rule Violations.  Specifically, MIAX proposes to modify Rule 1014 to include violations of the following:

• Exchange Rule 309 (Exercise Limits)
• Exchange Rule 310 (Reports Related to Position Limits)
• Exchange Rule 403 (Trading in Restricted Classes)
• Exchange Rule 604 (Market Maker Quotations)
• Exchange Rules 1300, 1301, 1302, and 1303 (Failure to Timely File Amendments to Form U4, Form U5, and Form BRD)

Please refer to Regulatory Circular 2013-54 for more details.

For questions, please contact the MIAX Regulatory Department at Regulatory@miaxglobal.com or 609-897-7309.