Regulatory Circulars MIAX Pearl Equities filter MonthJanuaryFebruaryMarchAprilMayJuneJulyAugustSeptemberOctoberNovemberDecember Year20222021202020192018201720162015201420132012 Clear Results 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 Current page 1 Page 2 Next page Next › Last page Last »
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