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-2018-07
Effective / Approved
Amend the Fee Schedule relating to certain non-transaction fees and rebates
February 28, 2018
SR-PEARL-2018-06
Withdrawn
Amend Section 1) Transaction Rebates/Fees of the Fee Schedule This filing has been withdrawn and refiled as SR-PEARL-2018-09.
February 28, 2018
SR-PEARL-2018-04
Effective / Approved
Amend Rule 402, Criteria for Underlying Securities, to modify the criteria for listing an option on an underlying covered security
February 22, 2018
SR-PEARL-2018-05
Effective / Approved
Amend Rule 403, Withdrawal of Approval of Underlyings Securities, to specify that if an option class is open for trading solely on the Exchange, the Exchange may restrict series with open interest to closing transactions This will become operative on March 23, 2018. The implementation date will be announced by the Exchange through a Regulatory Circular.
February 21, 2018
SR-PEARL-2018-03
Effective / Approved
Amend Rule 100, Definitions, and Rule 404, Series of Option Contracts Open for Trading, to expand the Short Term Option Series Program.
February 12, 2018
SR-PEARL-2018-02
Effective / Approved
Adopt rules to permit the Exchange to list and trade cash-settled index options.
February 08, 2018
SR-PEARL-2018-01
Effective / Approved
Amend Rule 517A, Aggregate Risk Manager for EEMs ("ARM-E"), and Rule 517B, Aggregate Risk Manager for Market Makers ("ARM-M"). to adopt a Market Maker Single Sided Protection ("SSP") feature.
February 06, 2018
SR-PEARL-2017-40
Effective / Approved
Amend the Fee Schedule to modify Section 1, Transaction Rebates/Fees.
December 29, 2017