MIAX Pearl® Equities Exchange Rule Filings
As a registered national securities exchange, MIAX Pearl is required to submit to the SEC, pursuant to Section 19 of the Securities Exchange Act of 1934 (the “Exchange Act”) and Rule 19b-4 thereunder, proposed rule changes. MIAX Pearl is required to post its rule filings on its website within two business days after submission. Rule filings are not effective until approved by the SEC, with the exception of certain types of rule filings that may take effect upon filing with the SEC if they meet the conditions specified under Section 19 of the Exchange Act and Rule 19b-4 thereunder. MIAX Pearl will post below pending rule filings submitted by the Exchange, followed by rule changes that have been approved by the SEC or became immediately effective pursuant to the Exchange Act.
SR-PEARL-2021-18
Effective / Approved
Amend Rule 3100, Registration Requirements, to extend the 120-day period that certain individuals can function as principals without having successfully passed an appropriate qualification examination through June 30, 2021.
April 21, 2021
SR-PEARL-2021-17
Withdrawn
This filing has been withdrawn and replaced with SR-PEARL-2021-20 on April 22, 2021.
April 09, 2021
SR-PEARL-2021-16
Effective / Approved
Amend the MIAX Pearl Options Fee Schedule to amend the tables for the Add/Remove Tiered Rebates/Fees that apply to all Origins.
April 08, 2021
SR-PEARL-2021-15
Effective / Approved
Amend the MIAX Pearl Equities Fee Schedule to lower the fee to remove liquidity in securities priced at or above $1.00 to $0.0025 per share for all Tapes.
March 31, 2021
SR-PEARL-2021-14
Withdrawn
This filing was withdrawn on April 8, 2021 and replaced with SR-PEARL-2021-16.
March 31, 2021
SR-PEARL-2021-08
Effective / Approved
Amend the Rulebook and Fee Schedules to reflect a rebranding of the Exchange to rebrand references to the fully-capitalized words "MIAX PEARL" to now be "MIAX Pearl".
March 30, 2021
SR-PEARL-2021-13
Effective / Approved
Amend Rule 404A, Select Provisions of Options Listing Procedure Plans, to update a Uniform Resource Locator "URL" within the rule.
March 26, 2021
SR-PEARL-2021-10
Effective / Approved
Amend the MIAX Pearl Equities Fee Schedule, Section 1, to add Liquidity Indicator Codes, and adopt Section 4, Additional Fees, concerning the Exchange's obligations under Section 31 of the Exchange Act.
March 25, 2021