U.S. Equities

Overview:

The MIAX Exchange Group will be participating in the 2021 SIFMA BCP Testing on Saturday, October 23, 2021.  All members that are required to test with MIAX Options, MIAX Pearl Options, MIAX Emerald Options and/or MIAX Pearl Equities Exchanges in accordance with Regulation Systems Compliance and Integrity (Regulation SCI) have been notified.  However, all members are encouraged to test. 

All Exchange designated Members are required to maintain connection to the MIAX Disaster Recovery (DR) environment for a twelve (12) month period after receiving notification for mandatory testing. All of the Exchanges will operate out of the Chicago (CH4) Disaster Recovery site for the scheduled test.

Designation Standards - Business Continuity and Disaster Recovery Plans Testing Member:

• MIAX Options Exchange  MIAX_Options_RC_2020_76
• MIAX Pearl Options Exchange MIAX_PEARL_RC_2020_64
• MIAX Emerald Options Exchange  MIAX_Emerald_RC_2020_67
• MIAX Pearl Equities Exchange MIAX_PEARL_Equities_RC_2020_16

Contact - for test day support, to coordinate participation or to arrange connectivity testing:

• MIAX Trading Operations at TradingOperations@miaxglobal.com or (609) 897-7302.

Pre-Testing:

• Availability to the DR environments for each of the MIAX Exchanges will be available:
  • Saturday, September 25, 2021, between 8:00AM - 12:00PM EST
    • Application layer connectivity testing
  • Saturday, October 2, 2021, between 8:00AM - 12:00PM EST
    • Application layer connectivity testing
  • Monday, October 18, 2021 through Friday, October 22, 2021, between 8:00AM - 5:30PM EST
    • Connectivity testing only

MIAX Options, MIAX Pearl Options & MIAX Emerald Options Exchanges BCP Testing Requirements
Members mandated to participate in accordance with Regulation SCI are obligated, at a minimum, to demonstrate the following:

Electronic Exchange Members (EEM)

• Send at least two orders in any of the options listed below
• Receive at least one execution in any of the options listed below

Market Makers (MM)

• MIAX Options Exchange:
  • Send at least one, two-sided quote in any of the options listed below
  • Receive at least one execution in any of the options listed below
• MIAX Pearl Options Exchange:
  • Send at least one, two-sided order in any of the options listed below
  • Receive at least one execution in any of the options listed below
• MIAX Emerald Options Exchange:
  • Send at least one, two-sided quote in any of the options listed below
  • Receive at least one execution in any of the options listed below

Options

1. AAPL - JAN 21 22 – C – 150.00
2. AAPL - JAN 21 22 – P – 150.00
3. BAC - NOV 19 21 – C – 35.00
4. BAC - NOV 19 21 – P – 35.00
5. GE - JAN 21 22 – C – 100.00
6. GE - JAN 21 22 – P – 100.00
7. MSFT - MAR 18 22 – C – 200.00
8. MSFT - MAR 18 22 – P – 200.00
9. SPY - DEC 17 21  – C – 300.00
10. SPY - DEC 17 21  –  P – 300.00
11. SPIKE - DEC 22 21  – C – 20.00
12. SPIKE - DEC 22 21  – P – 20.00

MIAX Pearl Equities Exchange BCP Testing Requirements
Equity Members mandated to participate in accordance with Regulation SCI are obligated, at a minimum, to demonstrate the following:

• Send at least two orders in any of the equity symbols listed below
• Receive at least one execution in any of the equity symbols listed below

Equities

1. Symbol - NTGR
2. Symbol - ZVZZT
3. Symbol - NTEST

October 23, 2021 Test Day Timeline:

• 08:30 - Firms can connect to the Trading Systems and enter Orders and Quotes
• 09:15 - Live Quote Window will open
• 09:30 - Opening
• 13:00 – Closing

Test Completion:

• Once a firm has completed testing, please confirm with MIAX Trading Operations at TradingOperations@miaxglobal.com