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-2017-23
Withdrawn
Amend Rules 606, Securities Accounts and Orders of Market Makers, and 804, Automated Submission of Trade Data, to eliminate or modify duplicative CAT rules. This filing has been withdrawn on 1/9/18.
May 15, 2017
SR-PEARL-2017-22
Effective / Approved
Amend Rules 503, Openings on the Exchange, and 515, Execution of Orders, to codify the Exchange's handling of orders after the opening process.
May 05, 2017
SR-PEARL-2017-21
Effective / Approved
Amend Rule 100, Definitions; and amend Rule 519C, Mass Cancellation of Trading Interest, to adopt section (c), Detection of Loss of Communication.
May 05, 2017
SR-PEARL-2017-20
Withdrawn
Amend the Fee Schedule to adopt the Consolidated Audit Trail Funding Fees for Industry Members Related to the CAT NMS Plan. This filing has been withdrawn on 1/9/18.
May 01, 2017
SR-PEARL-2017-19
Effective / Approved
Amend the MIAX PEARL Fee Schedule to Modify the Market Maker Tiered Rebates/Fees
April 26, 2017
SR-PEARL-2017-18
Effective / Approved
Amend the Fee Schedule to adopt an Appointed Affiliate Program.
April 06, 2017
SR-PEARL-2017-17
Effective / Approved
Amend the MIAX PEARL Fee Schedule to Waive Transaction Fees for the Opening Process
April 06, 2017
SR-PEARL-2017-16
Effective / Approved
Amend MIAX PEARL Rules 504 and 516 to Allow Post-Only Orders to Participate in the Opening Process
April 03, 2017