All Options Exchanges Rule Filings
As registered national securities exchanges, MIAX Options®, MIAX Pearl® Options and MIAX Emerald® 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-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-MIAX-2021-13
Effective / Approved
Amend Rule 1900, 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-MIAX-2021-12
Effective / Approved
Amend Rule 404, Series of Option Contracts Open for Trading, to limit the intervals between strikes for option classes within the Short Term Options Series Program.
April 21, 2021
SR-EMERALD-2021-15
Effective / Approved
Amend Rule 1900, 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-EMERALD-2021-14
Effective / Approved
Amend Exchange Rule 515, Execution of Orders and Quotes; Rule 516, Order Types Defined; Rule 517 Quote Types Defined; Rule 605, Market Maker Orders; and Rule 612 Aggregate Risk Manager to eliminate Fill-or-Kill (FOK) Orders and FOK eQuotes
April 19, 2021
SR-MIAX-2021-11
Withdrawn
This filing has been withdrawn and replaced with SR-MIAX-2021-15 on April 22, 2021.
April 12, 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Withdrawn
This filing has been withdrawn and replaced with SR-PEARL-2021-20 on April 22, 2021.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