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-2017-10
Effective / Approved
Adopt the MIAX PEARL Fee Schedule
February 13, 2017
SR-PEARL-2017-09
Withdrawn
Amend the MIAX PEARL Fee Schedule to Adopt an Options Regulatory Fee. This filing was withdrawn and replaced with SR-PEARL-2017-15.
February 03, 2017
SR-PEARL-2017-08
Withdrawn
Adopt the MIAX PEARL Fee Schedule This filing was withdrawn and replaced by SR-PEARL-2017-10.
February 03, 2017
SR-PEARL-2017-06
Effective / Approved
Amend MIAX PEARL Rules 519A and 519B Relating to the Risk Protection Monitor
February 02, 2017
SR-PEARL-2017-04
Effective / Approved
Adopt MIAX PEARL Rules 1701 - 1712 to Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan”)
February 01, 2017
SR-PEARL-2017-05
Effective / Approved
Amendment of Exchange Rule 515, Execution of Orders, Relating to Price Protection
January 31, 2017
SR-PEARL-2017-03
Effective / Approved
Amend MIAX PEARL Rules 100, 404, 519C and Adopt MIAX PEARL Rule 1018 in Order to Harmonize MIAX PEARL Rules with the Rules of the Exchange's Affiliate, Miami International Securities Exchange, LLC ("MIAX Options")
January 24, 2017
SR-PEARL-2017-02
Withdrawn
Adopt MIAX PEARL Rules 1701 - 1712 to Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan”) Withdrawn and refiled as SR-PEARL-2017-04
January 19, 2017