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MIAX Options, MIAX PEARL and MIAX Emerald have proposed a rule change to amend Rule 315, Anti-Money Laundering Compliance Program, for all three exchanges to conform the exchanges’ rules with the final rule on Customer Due Diligence Requirements for Financial Institutions (“CDD Rule”) recently adopted by the Financial Crime Enforcement Network (“FinCEN”).
The change will become effective as of January 21, 2020, pursuant to notices recently issued by the Securities and Exchange Commission (“SEC”).
Please refer to the following for further details.
- MIAX Options Regulatory Circular 2019-73
- MIAX PEARL Regulatory Circular 2019-47
- MIAX Emerald Regulatory Circular 2019-99
