Trading Alert
MIAX Pearl Equities
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.
- MIAX Options Regulatory Circular 2020-33
- MIAX PEARL Regulatory Circular 2020-27
- MIAX Emerald Regulatory Circular 2020-30