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. MIAX PEARL rule filings are listed below. In addition, the MIAX PEARL Rulebook incorporates a number of Chapters from the MIAX Options rules. Therefore, any MIAX Options rule filings which modify those MIAX Options rules that are incorporated into the MIAX PEARL Rulebook are also listed below.
September 28, 2018
Effective / Approved
Amend the Fee Schedule to modify the transaction fees.
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September 27, 2018
Effective / Approved
Amend Rule 203, Qualification and Registration of Members and Associated Persons, relating to the Securities Industry Essentials ("SIE") Examination
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September 18, 2018
Suspended
Amend the Fee Schedule to modify certain network fees.
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August 30, 2018
Effective / Approved
Amend Rule 404A, Select Provisions of Options Listing Procedures Plan, and Rule 406, Long-Term Option Contracts.
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August 01, 2018
Effective / Approved
Amend the Fee Schedule to modify the transaction fees.
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July 31, 2018
Withdrawn
Notice of Filing and Immediate Effectiveness
Federal Register Notice
SEC Suspension of Connectivity Fees
Federal Register Suspension of Connectivity Fees
SEC Notice of Withdrawal of Proposed Rule Change
Federal Register Notice of Withdrawal of Proposed Rule Change
Amend the Fee Schedule to modifiy certain network connectivity fees.
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August 01, 2018
Effective / Approved
Amend Rule 514, Priority on the Exchange, to expand the scope of self-trade protection available to Members.
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June 18, 2018
Effective / Approved
Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments, to extend the Penny Pilot program until December 31, 2018.
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May 31, 2018
Effective / Approved
Amend the Fee Schedule relating to certain transaction fees and rebates.
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April 27, 2018
Effective / Approved
Amend the Fee Schedule to adopt a Trading Permit Fee for an EEM Clearing Firm.
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