MIAX Exchange Group - Options & Equities Markets - Amendment To Rule 1308, Supervision Of Accounts, To Extend The Temporary Remote Inspection Relief For Members To Complete Their Branch Office Inspections

Date 14/02/2023

MIAX Options, MIAX Pearl and MIAX Emerald have amended Rule 1308, Supervision of Accounts. The change to Rule 1308(d) would provide that Members have the option to conduct remotely those inspections described in Rule 1308(d)(5) through the earlier of the effective date of the FINRA pilot program on remote inspections if approved, or December 31, 2023.

Please refer to the following Regulatory Circulars for more information.

MIAX Options RC 2023-08
MIAX Pearl Options RC 2023-06
MIAX Emerald Options RC 2023-07
MIAX Pearl Equities RC 2023-04

Contact MIAX Trading Operations at TradingOperations@MIAXOptions.com or (609) 897-7302 with any questions about the changes.

Regulatory inquiries should be directed to Regulatory@MIAXOptions.com or (609) 897-7309.