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MIAX Pearl Equities

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May 27, 2022
MIAX Pearl Equities RC 2022 02
Consolidated Audit Trail (“CAT”) Full Customer Account Information System (“CAIS”) Production Certification and Compliance Deadlines Extended
VIEW DOCUMENT
May 27, 2022
MIAX Pearl Equities RC 2022 01
Proposed Rule Change to Amend FINRA Rule 13000 Series, Code of Arbitration Procedure for Industry Disputes, To Align the Code with the Ending Forced Arbitration of Sexual Assult and Sexual Harassment Act of 2021
VIEW DOCUMENT
December 15, 2021
MIAX Pearl Equities RC 2021 03
Business Continuity and Disaster Recovery Plans Testing - Member Designation Standards
VIEW DOCUMENT
March 15, 2021
MIAX PEARL Equities RC 2021 02
MIAX Pearl Equities Rules Incorporated by Reference
VIEW DOCUMENT
January 08, 2021
MIAX Pearl Equities RC 2021 01
Net Notional Trade Value Settings and Adjustments by Members and Clearing Members on MIAX Pearl Equities
VIEW DOCUMENT
December 18, 2020
MIAX Pearl Equities RC 2020 16
Business Continuity and Disaster Recovery Plans Testing
Member Designation Standards
VIEW DOCUMENT
December 17, 2020
MIAX PEARL Equities RC 2020 15
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules To Reflect Name Changes to Two FINRA Departments: The Office of Dispute Resolution and the Department of Registration and Disclosure
VIEW DOCUMENT
October 28, 2020
MIAX PEARL Equities RC 2020 14
Update to Order Routing Field Mapping for CAT
VIEW DOCUMENT
October 26, 2020
MIAX PEARL Equities RC 2020 13
Proposed Rule Change To Amend the FINRA Codes of Arbitration Procedure To Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees
VIEW DOCUMENT
October 26, 2020
MIAX PEARL Equities RC 2020 12
Proposed Rule Change to Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to modify the current process relating to the expungement of customer dispute information
VIEW DOCUMENT
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