U.S. Equities

Overview:

As previously announced in the April 19, 2022, and September 19, 2022 Alerts, the MIAX Exchange Group will be participating in the 2022 SIFMA BCP Testing on Saturday, October 15, 2022.  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) were notified on April 5, 2022.  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_2021_80
• MIAX PEARL Options Exchange MIAX_PEARL_RC_2021_72
• MIAX Emerald Options Exchange  MIAX_Emerald_RC_2021_76
• MIAX PEARL Equities Exchange MIAX_PEARL_Equities_RC_2021_03

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, October 1, 2022, between 8:00AM - 1:00PM EST
    • Application layer connectivity testing
  • Monday, October 10, 2022 through Friday, October 14, 2022, between 8:00AM - 5:30PM EST
    • Unicast telnet 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 20 23 – C – 170
2. AAPL - JAN 20 23 – P – 170
3. BAC - NOV 18 22 – C – 39
4. BAC - NOV 18 22 – P – 39
5. GE - JAN 20 23 – C – 85
6. GE - JAN 20 23 – P – 85
7. MSFT - JUN 16 23 – C – 300
8. MSFT - JUN 16 23 – P – 300
9. SPY - DEC 16 22 – C – 445
10. SPY - DEC 16 22 – P – 445
11. SPIKE - NOV 16 22 – C – 26
12. SPIKE - NOV 16 22 – P – 26

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 15, 2022 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