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Regulatory Alert

MIAX Pearl

August 23, 2017 | 10:42 AM

Consolidated Audit Trail Fee Dispute Resolution Rule

On August 22, 2017, MIAX Options filed with the Securities and Exchange Commission a partial amendment to its rule filing to adopt MIAX Options Rule 1713, Consolidated Audit Trail – Fee Dispute Resolution.

Upon its approval, proposed MIAX Options Rule 1713 as amended shall be incorporated by reference into the MIAX PEARL Rule Book, as such rule may be in effect from time to time, and thus shall be a MIAX PEARL Rule applicable to MIAX PEARL Members.

Proposed Rule 1713 will establish the procedures for resolving potential disputes related to fees to be charged to Industry Members related to the National Market Plan Governing the Consolidated Audit Trail.

Please refer to MIAX PEARL Regulatory Circular 2017-52 for further details.

Questions about the MIAX PEARL Consolidated Audit Trail – Fee Dispute Resolution rule should be directed to the Regulatory Department at Regulatory@miaxglobal.com or (609) 897-7309.