All Options Exchanges Rule Filings
As registered national securities exchanges, MIAX Options®, MIAX Pearl® Options, MIAX Emerald® Options and MIAX Sapphire™ Options are 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. Each MIAX Exchange 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 will post below pending rule filings submitted by each Exchange, followed by rule changes that have been approved by the SEC or became immediately effective pursuant to the Exchange Act.
SR-PEARL-2019-36
Effective / Approved
Amend the Fee Schedule to modify certain connectivity fees.
December 20, 2019
SR-MIAX-2019-52
Effective / Approved
Amend Rule 315, Anti-Money Laundering Compliance Program, to conform to FinCEN's AML Rule.
December 20, 2019
SR-MIAX-2019-51
Effective / Approved
Amend the Fee Schedule to modify certain connectivity fees.
December 20, 2019
SR-EMERALD-2019-39
Effective / Approved
Amend the Fee Schedule to adopt connectivity fees
December 20, 2019
SR-PEARL-2019-35
Effective / Approved
Amend Rule 100, Definitions, Rule 503, Openings on the Exchange, Rule 515, Execution of Orders, Rule 516, Order Types, and Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors to update internal cross-references.
December 19, 2019
SR-EMERALD-2019-38
Effective / Approved
Amend Rules 100, 503, 515, 516, 517, 518 and 521 to update internal cross-references.
December 19, 2019
SR-EMERALD-2019-37
Effective / Approved
Amend Rule 515, Execution of Orders and Quotes, to make minor non-substantive edits and clarifying changes to the rule text.
December 16, 2019
SR-MIAX-2019-50
Effective / Approved
Amend, reorganize and enhance the Exchange's membership, registration and qualification rules and consolidate the rules into new Chapter XIX, Registration, Qualification and Continuing Education.
December 10, 2019