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Trading Alert

MIAX Pearl

July 02, 2020 | 02:45 PM

Consolidated Audit Trail Compliance Rules Information

FINRA has published a Regulatory Notice providing an update on coordination between the national securities exchanges and FINRA on the Consolidated Audit Trail (“CAT”) compliance rules (the “CAT Compliance Rules”). 

Please refer to the Regulatory Circulars listed below for further information.

Questions should be directed to Regulatory@miaxglobal.com or (609) 897-7309.