Regulatory Alert
MIAX Options
February 02, 2016 | 03:42 PM
MIAX CRD Registrations: ME & FI S-28 Deletions Effective February 8, 2016
Effective Monday, February 8, 2016, MIAX is discontinuing approval of the following two Web CRD registration categories:
• FI - Introducing Broker-Dealer Financial and Operations Principal Examination (Series 28)
• ME - Member
For member firms whose registered persons hold either of these two registrations at MIAX, please submit a partial Form U-5 Uniform Termination Notice on or before February 5, 2016.
Please refer to MIAX Regulatory Circular 2016-05 for further details.
For questions regarding the elimination of these registrations, please contact John Cunningham, Member Services at (609) 897-1479 or jcunningham@miami-holdings.com.