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-2020-04
Effective / Approved
Amend Chapter XVII, Consolidated Audit Trail Compliance Rule, relating to the CAT Market Maker Quote Exception.
February 27, 2020
SR-PEARL-2020-03
Effective / Approved
Adopt rules governing the trading of equity securities.
January 24, 2020
SR-PEARL-2020-02
Effective / Approved
Amend the Fee Schedule to make minor, non-substantive corrective edits and clarifying changes.
January 15, 2020
SR-PEARL-2020-01
Effective / Approved
Amend, reorganize and enhance the Exchange's membership, registration and qualification rules and consolidate the rules into new Chapter XXXI, Registration, Qualification and Continuing Education.
January 09, 2020
SR-PEARL-2019-36
Effective / Approved
Amend the Fee Schedule to modify certain 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-PEARL-2019-34
Effective / Approved
Amend Rule 510, Minimum Price Variations and Minimum Trading Increments, to extend the Penny Pilot Program through June 30, 2020.
November 13, 2019
SR-PEARL-2019-33
Withdrawn
This filing was withdrawn on December 20, 2019 and replaced with SR-PEARL-2019-36
October 22, 2019