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On August 23, 2023, the Securities and Exchange Commission adopted amendments to Securities and Exchange Act Rule 15b9-1 that narrow the exemption from FINRA membership (“Rule 15b9-1 Amendments”). Certain broker-dealers will be required to become a FINRA member if the broker-dealer effects transactions other than on an exchange of which it is a member unless certain conditions are met.
Please refer to the following Regulatory Circulars for more information on the new FINRA membership requirements:
- MIAX Options RC 2024-07
- MIAX Pearl Options RC 2024-07
- MIAX Emerald Options RC 2024-07
- MIAX Pearl Equities RC 2024-04
Questions may be directed to the Membership Department at MemberServices@miaxglobal.com or (609) 423-8433.
Regulatory inquiries should be directed to Regulatory@miaxglobal.com or (609) 897-7309.
