Rules Incorporated by Reference

MIAX PEARL has rules that incorporate by reference rules of other self-regulatory organizations. Specifically, MIAX PEARL Rule 1107 incorporates by reference the rules of the Financial Industry Regulatory Authority (FINRA) relating to arbitration of disputes and MIAX PEARL Rule 1502 incorporates by reference the rules of both CBOE and NYSE relating to initial and maintenance margin requirements. Thus, whenever FINRA amends its arbitration and whenever CBOE and NYSE amend their margin rules, MIAX PEARL is required to provide written notice to its Members of those proposed changes and provide a link to the CBOE and NYSE websites where the proposed rule change filings are located.

FINRA Rule Filings to Amend Arbitration Rules

MIAX PEARL Regulatory Circulars with information pertaining to (including links to) pending FINRA rule filings with the SEC seeking to amend the FINRA Arbitration Rules as well as any SEC orders approving or disapproving those FINRA rule filings.

FINRA Rule Filings

Initial & Maintenance Margin

CBOE Rule Filings to Amend Margin Rules

MIAX PEARL Regulatory Circulars with information pertaining to (including links to) pending CBOE rule filings with the SEC seeking to amend the CBOE Margin Rules as well as any SEC orders approving or disapproving those CBOE rule filings.

CBOE Rule Filings