U.S. Equities

As required by Regulation Systems Compliance and Integrity and MIAX Options Rule 321, which is incorporated by reference into both the MIAX Pearl and MIAX Emerald Exchange Rule Books, and thus applicable to Members of both Exchanges, certain Members of the MIAX Exchanges will have mandatory participation requirements in the annual SIFMA Business Continuity Planning Disaster Recovery (“BC/DR”) test. Please refer to the following for more information on designation standards and requirements for Designated Members.

• MIAX Options Regulatory Circular 2020-76
• MIAX Pearl Options Regulatory Circular 2020-64
• MIAX Emerald Options Regulatory Circular 2020-67
• MIAX Pearl Equities Regulatory Circular 2020-16

Please direct any requests for further information regarding BC/DR plans testing to TradingOperations@miaxglobal.com or (609) 897-7302.

Regulatory questions may be directed to Regulatory@miaxglobal.com or (609) 897-7309.