Regulatory Alert
MIAX Pearl
January 30, 2017 | 11:01 AM
Electronic Filing of Annual Reports
Pursuant to MIAX PEARL Rules 803, Audits and 1308, Supervision of Accounts, MIAX PEARL Members are required to file annual reports regarding the Member’s financial condition.
In connection with the Regulatory Services Agreement between MIAX PEARL and FINRA, the filing of various annual reports has been transitioned to the electronic filing platform available via FINRA’s Firm Gateway located athttps://firms.finra.org.
Please refer to MIAX PEARL Regulatory Circular 2017-04 for further details.
FINRA Firm Gateway technical questions may be directed to FINRA’s technical support group at (301) 869-6699.
Regulatory questions may be directed to the MIAX PEARL Regulatory Department at Regulatory@miaxglobal.com or (609) 897-7309.