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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.