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.
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June 30, 2020
Effective / Approved
Amend the Fee Schedule to increase the number of additional Limited Service MIAX Express Order Interface ("MEO") Ports available to Market Makers.
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June 30, 2020
Effective / Approved
Amend the Fee Schedule to make non-substantive, clerical changes in order to conform to the adoption of the new Penny Interval Program
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June 18, 2020
Effective / Approved
Amend Rule 1014, Impostion of Fines for Minor Rule Violations, to add the Consolidated Audit Trail ("CAT") Industry Member Compliance Rules.
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May 29, 2020
Effective / Approved
Amend Rule 404, Series of Options Contracts Open for Trading, and Rule 510, Minimum Price Variations and Minimum Trading Increments, to conform the Rules to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options.
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March 31, 2020
Effective / Approved
Amend the Fee Schedule to adjust certain Taker fees in certain Tiers for Priority Customers, Market Makers and Professional Members.
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February 27, 2020
Effective / Approved
Amend Chapter XVII, Consolidated Audit Trail Compliance Rule, relating to the CAT Market Maker Quote Exception.
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January 24, 2020
Pending
SEC Notice of Filing
Federal Register Notice
SEC Notice of Designation of Longer Period for Commission Action
Federal Register Notice of Designation of Longer Period for Commission Action
Amendment No. 1
SEC Notice of Amendment No.1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change
Federal Register Notice of Amendment No.1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change
SEC Notice of Designation of Longer Period for Commission Action Until August 24 2020
Federal Register Notice of Designation of Longer Period for Commission Action Until August 24 2020
Adopt rules governing the trading of equity securities.
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January 15, 2020
Effective / Approved
Amend the Fee Schedule to make minor, non-substantive corrective edits and clarifying changes.
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January 09, 2020
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.
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December 20, 2019
Effective / Approved
Amend the Fee Schedule to modify certain connectivity fees.
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