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Trading Alert

MIAX Emerald

July 17, 2020 | 03:00 PM

Industry Presentation by CMRWG on CAT Compliance Rules

The MIAX Exchange Group is issuing this regulatory alert to inform MIAX Exchange Group Members of a scheduled industry presentation by the Cross Market Regulation Working Group (“CMRWG”) and FINRA CAT regarding SRO regulation of Consolidated Audit Trail (“CAT”) Compliance Rules and FINRA CAT’s role in CAT compliance.

Please see the attached ISG CMRWG Regulatory Notice 2020-02 that was issued by the participants of the ISG CMRWG. 

Questions regarding the Notice should be directed to the Regulatory Department at Regulatory@miaxglobal.com or (609) 897-7309.