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Regulatory Alert

MIAX Options

September 27, 2016 | 11:53 AM

Electronic Filing of Annual Reports

MIAX has received approval from the Securities and Exchange Commission to amend Rules 803, Audits; and 1308, Supervision of Accounts, requiring annual reports to be submitted electronically via the FINRA Firm Gateway effective October 1, 2016.

Please refer to MIAX Regulatory Circular 2016-39 for more details.

Questions regarding report submissions should be directed to the MIAX Regulatory Department at Regulatory@miaxglobal.com or (609) 897-7309.