Regulatory Alert, Trading Alert
MIAX Emerald
August 12, 2024 | 11:05 AM
MIAX Sapphire Options BD Form U4 Registrations
Newly approved MIAX Sapphire Broker-Dealer firms that also maintain an approved membership in the MIAX Options Exchange will have their firm’s Individual Form U-4 registrations auto-copied in FINRA’s WebCRD from MIAX Options to MIAX Sapphire on September 16, 2024.
Please refer to MIAX Sapphire RC 2024-31 for more details.
Questions regarding this notice may be directed to Member Services at MembershipCORE@miaxglobal.com or (609) 423-8433.
FINRA Firm Gateway registrations and technical questions may be directed to FINRA’s Office of Regulatory Services & Strategy at Orss@finra.org.