Trading Alert
MIAX Pearl Equities
August 27, 2020 | 03:12 PM
Adoption of Changes to Minor Rule Violation Plans adding CAT Reporting Compliance Rules
MIAX Exchange Group has adopted changes to the Exchanges’ Minor Rule Violation Plans (“MRVPs”) to make Members’ violations of the Consolidated Audit Trail (“CAT”) compliance rules (“CAT Compliance Rules”) eligible for disposition with a minor rule violation fine, when warranted.
All Exchange CAT Compliance Rule violations became eligible for disposition under the MRVPs on August 25, 2020.
Please refer to the Regulatory Circulars listed below for further information.
- MIAX Options Regulatory Circular 2020-41
- MIAX PEARL Regulatory Circular 2020-35
- MIAX Emerald Regulatory Circular 2020-37