Regulatory Alert
MIAX Pearl
September 07, 2017 | 02:31 PM
Consolidated Audit Trail ( CAT ) Fee Dispute Resolution Rule
On August 30, 2017, the Securities and Exchange Commission approved MIAX Options' rule filing to adopt MIAX Options Rule 1713 (Consolidated Audit Trail – Fee Dispute Resolution).
MIAX Options Rule 1713 is incorporated by reference into the MIAX PEARL Rule Book, as such rule may be in effect from time to time, and is thus a MIAX PEARL Rule applicable to MIAX PEARL Members.
Rule 1713 establishes 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 2017-54 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.