MIAX Pearl® Equities Regulatory Circulars


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August 15, 2022

MIAX Pearl Equities RC-2022-06

Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Modify the Current Process Relating to the Expungement of Customer Dispute Information

August 04, 2022

MIAX Pearl Equities RC-2022-05

Prearranged Trading

July 20, 2022

MIAX Pearl Equities RC-2022-04

Market Wide Circuit Breaker Testing
Member Designation Standards

July 01, 2022

MIAX Pearl Equities RC-2022-03

Amendments to MIAX Rules for Registration Requirements, Continuing Education Requirements, and Electronic Filing Requirements for Uniform Forms

May 27, 2022

MIAX Pearl Equities RC-2022-02

Consolidated Audit Trail (“CAT”) Full Customer Account Information System (“CAIS”) Production Certification and Compliance Deadlines Extended

May 27, 2022

MIAX Pearl Equities RC-2022-01

Proposed Rule Change to Amend FINRA Rule 13000 Series, Code of Arbitration Procedure for Industry Disputes, To Align the Code with the Ending Forced Arbitration of Sexual Assult and Sexual Harassment Act of 2021

December 15, 2021

MIAX Pearl Equities RC-2021-03

Business Continuity and Disaster Recovery Plans Testing - Member Designation Standards

March 15, 2021

MIAX Pearl Equities RC-2021-02

MIAX Pearl Equities Rules Incorporated by Reference