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-MIAX-2020-20
Effective / Approved
Amend Rule 518, Complex Orders, to adopt a new Complex Auction-on-Arrival-Only ("cAOAQ") order type.
June 24, 2020
SR-MIAX-2020-19
Effective / Approved
Amend Rule 518, Complex Orders, to exclude cPRIME Orders from the Complex MIAX Options Price Collar Protection; and Rule 515A, MIAX Price Improvement Mechanism ("PRIME") and PRIME Solicitation Mechanism, to remove the provision that precluded last priority in allocation from being available for cPRIME Agency Orders.
June 22, 2020
SR-MIAX-2020-18
Effective / Approved
Amend Chapter XVII, Consolidated Audit Trail Compliance Rules, to be consistent with certain exemptions from the CAT NMS Plan as well as to facilitate the retirement of certain existing regulatory systems.
June 22, 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-MIAX-2020-17
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-MIAX-2020-16
Effective / Approved
Amend Rule 518, Complex Orders, to adopt a new Complex Attributable Order Type.
June 12, 2020
SR-MIAX-2020-15
Effective / Approved
Extend the filing requirements for certain supervision-related reports currently due April 1, 2020 pursuant to Exchange Rule 1308, Supervision of Accounts, currently given an extension through June 1, 2020 to June 30, 2020.
June 04, 2020
SR-MIAX-2020-14
Withdrawn
This filing was withdrawn and re-filed as SR-MIAX-2020-15.
June 02, 2020