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-2017-18
Effective / Approved
Amend the Fee Schedule to adopt an Appointed Affiliate Program.
April 06, 2017
SR-PEARL-2017-17
Effective / Approved
Amend the MIAX PEARL Fee Schedule to Waive Transaction Fees for the Opening Process
April 06, 2017
SR-PEARL-2017-16
Effective / Approved
Amend MIAX PEARL Rules 504 and 516 to Allow Post-Only Orders to Participate in the Opening Process
April 03, 2017
SR-PEARL-2017-15
Withdrawn
Amend the MIAX PEARL Fee Schedule to Adopt An Options Regulatory Fee. This filing was withdrawn and replaced with SR-PEARL-2017.26.
March 30, 2017
SR-PEARL-2017-14
Withdrawn
Amend the MIAX PEARL Fee Schedule to Adopt an Appointed Affiliate Program. This filing was withdrawn and replaced with SR-PEARL-2017-18.
March 29, 2017
SR-PEARL-2017-13
Withdrawn
Amend the MIAX PEARL Fee Schedule to Waive Transaction Fees for the Opening Process. This filing was withdrawn and replaced with SR-PEARL-2017-17.
March 29, 2017
SR-PEARL-2017-12
Effective / Approved
Amend MIAX PEARL Rules 517A, Aggregate Risk Manager for EEMs, and 517B, Aggregate Risk Manager for Market Makers.
March 06, 2017
SR-PEARL-2017-11
Effective / Approved
Amend MIAX PEARL Rules 100, 404, 515, 529 and 601 to Make Minor Corrective Changes.
March 03, 2017