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-2020-10
Effective / Approved
Proposal to implement an Equity Rights Program for the MIAX PEARL Equities Exchange.
August 20, 2020
SR-PEARL-2020-09
Withdrawn
This filing was withdrawn on August 25, 2020 and replaced with SR-PEARL-2020-12.
June 30, 2020
SR-PEARL-2020-08
Effective / Approved
Amend the Fee Schedule to make non-substantive, clerical changes in order to conform to the adoption of the new Penny Interval Program
June 30, 2020
SR-PEARL-2020-07
Effective / Approved
Amend Rule 1014, Imposition of Fines for Minor Rule Violations, to add the Consolidated Audit Trail ("CAT") Industry Member Compliance Rules.
June 18, 2020
SR-PEARL-2020-06
Effective / Approved
Amend Rule 404, Series of Options Contracts Open for Trading, and Rule 510, Minimum Price Variations and Minimum Trading Increments, to conform the Rules to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options.
May 29, 2020
SR-PEARL-2020-05
Effective / Approved
Amend the Fee Schedule to adjust certain Taker fees in certain Tiers for Priority Customers, Market Makers and Professional Members.
March 31, 2020
SR-PEARL-2020-04
Effective / Approved
Amend Chapter XVII, Consolidated Audit Trail Compliance Rule, relating to the CAT Market Maker Quote Exception.
February 27, 2020
SR-PEARL-2020-03
Effective / Approved
Adopt rules governing the trading of equity securities.
January 24, 2020