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.