Trading Alert
MIAX Pearl
January 30, 2017 | 02:59 PM
Non-Member Customer Written Report Submission
By April 1st of each year, each Member that conducts a non-member customer business shall submit to the Exchange a written report on the Member's supervision and compliance effort during the preceding year and on the adequacy of the Member's ongoing compliance processes and procedures. Each Member that conducts a public customer options business shall also specifically include its options compliance program in the report.
MIAX Pearl Members are required to file the annual report via FINRA’s FIRM Gateway located at https://firms.finra.org.
Please refer to MIAX PEARL Regulatory Circular 2017-08 for further details.
Regulatory questions may be directed to the MIAX PEARL Regulatory Department at Regulatory@miaxglobal.com or (609) 897-7309.