PEARL Rulemaking
We encourage the public to submit comments on the following MIAX PEARL, LLC filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
PEARL File Number List for 2018
Additional Archives
Chronological List
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-PEARL-2018-19 | ||
| 34-84651 | Nov. 26, 2018 | Notice of Withdrawal of a Proposed Rule Change to Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members |
| SR-PEARL-2018-23 | ||
| 34-84592 | Nov. 14, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule
Comments due: December 11, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-22 | ||
| 34-84591 | Nov. 14, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule
Comments due: December 11, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-24 | ||
| 34-84585 | Nov. 14, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 406, Long-Term Option Contracts
Comments due: December 11, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-16 | ||
| 34-84397 | Oct. 10, 2018 | Notice of Withdrawal of a Proposed Rule Change to Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members |
| SR-PEARL-2018-21 | ||
| 34-84387 | Oct. 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule
Comments due: November 5, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-20 | ||
| 34-84362 | Oct. 4, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC to Amend Exchange Rule 203, Qualification and Registration of Members and Associated Persons, Relating to Registration and Qualification Examinations Required for Members and Associated Persons of Members that Engage in Trading Activities on the Exchange
Comments due: November 1, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-19 | ||
| 34-84358 | Oct. 3, 2018 | Notice of Filing of a Proposed Rule Change to Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members; Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change
Comments due: October 31, 2018 Rebuttal comments due: November 14, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| Third Quarter | ||
| SR-PEARL-2018-16 | ||
| 34-84177 | Sep. 17, 2018 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members
Comments due: October 12, 2018 Rebuttal comments due: October 26, 2018 |
| SR-PEARL-2018-18 | ||
| 34-84093 | Sep. 12, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 404A, Select Provisions of Options Listing Procedures Plan, and Rule 406, Long-Term Option Contracts
Comments due: October 9, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-15 | ||
| 34-83835 | Aug. 13, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Exchange Rule 514 Priority on the Exchange
Comments due: September 7, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-17 | ||
| 34-83814 | Aug. 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC to Amend the MIAX PEARL Fee Schedule
Comments due: September 5, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-16 | ||
| 34-83785 | Aug. 7, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule
Comments due: September 4, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| Second Quarter | ||
| SR-PEARL-2018-14 | ||
| 34-83517 | Jun. 25, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 510 to Extend the Penny Pilot Program
Comments due: July 20, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-13 | ||
| 34-83419 | Jun. 12, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule
Comments due: July 9, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-12 | ||
| 34-83188 | May 8, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule
Comments due: June 4, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-11 | ||
| 34-83092 | Apr. 23, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 602, Continuing Market Maker Registration
Comments due: May 18, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-10 | ||
| 34-83060 | Apr. 18, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exchange Rule 503, Openings on the Exchange
Comments due: May 15, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-02 | ||
| 34-83039 | Apr. 12, 2018 | Order Granting Approval of a Proposed Rule Change to Adopt Rules Relating to Index Options
Comments due: days after publication in the Federal Register |
| SR-PEARL-2018-08 | ||
| 34-83012 | Apr. 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Implement an Equity Rights Program
Comments due: May 4, 2018 |
| First Quarter | ||
| SR-PEARL-2018-09 | ||
| 34-82900 | Mar. 19, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule
Comments due: April 13, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-07 | ||
| 34-82867 | Mar. 13, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule
Comments due: April 9, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-04 | ||
| 34-82827 | Mar. 8, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 402, Criteria for Underlying Securities
Comments due: April 4, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-05 | ||
| 34-82812 | Mar. 6, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 403, Withdrawal of Approval of Underlying Securities
Comments due: March 30, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-02 | ||
| 34-82756 | Feb. 21, 2018 | Notice of Filing of a Proposed Rule Change to Adopt Rules Relating to Trading in Index Options
Comments due: March 20, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-PEARL-2018-01 | ||
| 34-82721 | Feb. 15, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 517A, Aggregate Risk Manager for EEMs ("ARM-E"), and Rule 517B, Aggregate Risk Manager for Market Makers ("ARM-M")
Comments due: March 15, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-03 | ||
| 34-82720 | Feb. 15, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Expand the Short Term Option Series Program
Comments due: March 15, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2017-23 | ||
| 34-82524 | Jan. 17, 2018 | Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| SR-PEARL-2017-20 | ||
| 34-82503 | Jan. 16, 2018 | Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-Phlx-2017-37 |
| SR-PEARL-2017-40 | ||
| 34-82490 | Jan. 11, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule
Comments due: February 8, 2018 Additional Materials: Exhibit 5 |
PEARL File Number List for 2018
| Release No. | Date | Details |
|---|---|---|
| SR-PEARL-2018-24 | ||
| 34-84585 | Nov. 14, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 406, Long-Term Option Contracts
Comments due: December 11, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-23 | ||
| 34-84592 | Nov. 14, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule
Comments due: December 11, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-22 | ||
| 34-84591 | Nov. 14, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule
Comments due: December 11, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-21 | ||
| 34-84387 | Oct. 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule
Comments due: November 5, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-20 | ||
| 34-84362 | Oct. 4, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC to Amend Exchange Rule 203, Qualification and Registration of Members and Associated Persons, Relating to Registration and Qualification Examinations Required for Members and Associated Persons of Members that Engage in Trading Activities on the Exchange
Comments due: November 1, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-19 | ||
| 34-84651 | Nov. 26, 2018 | Notice of Withdrawal of a Proposed Rule Change to Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members |
| 34-84358 | Oct. 3, 2018 | Notice of Filing of a Proposed Rule Change to Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members; Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change
Comments due: October 31, 2018 Rebuttal comments due: November 14, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-PEARL-2018-18 | ||
| 34-84093 | Sep. 12, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 404A, Select Provisions of Options Listing Procedures Plan, and Rule 406, Long-Term Option Contracts
Comments due: October 9, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-17 | ||
| 34-83814 | Aug. 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC to Amend the MIAX PEARL Fee Schedule
Comments due: September 5, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-16 | ||
| 34-84397 | Oct. 10, 2018 | Notice of Withdrawal of a Proposed Rule Change to Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members |
| 34-84177 | Sep. 17, 2018 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members
Comments due: October 12, 2018 Rebuttal comments due: October 26, 2018 |
| 34-83785 | Aug. 7, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule
Comments due: September 4, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-PEARL-2018-15 | ||
| 34-83835 | Aug. 13, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Exchange Rule 514 Priority on the Exchange
Comments due: September 7, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-14 | ||
| 34-83517 | Jun. 25, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 510 to Extend the Penny Pilot Program
Comments due: July 20, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-13 | ||
| 34-83419 | Jun. 12, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule
Comments due: July 9, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-12 | ||
| 34-83188 | May 8, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule
Comments due: June 4, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-11 | ||
| 34-83092 | Apr. 23, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 602, Continuing Market Maker Registration
Comments due: May 18, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-10 | ||
| 34-83060 | Apr. 18, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exchange Rule 503, Openings on the Exchange
Comments due: May 15, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-09 | ||
| 34-82900 | Mar. 19, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule
Comments due: April 13, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-08 | ||
| 34-83012 | Apr. 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Implement an Equity Rights Program
Comments due: May 4, 2018 |
| SR-PEARL-2018-07 | ||
| 34-82867 | Mar. 13, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule
Comments due: April 9, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-05 | ||
| 34-82812 | Mar. 6, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 403, Withdrawal of Approval of Underlying Securities
Comments due: March 30, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-04 | ||
| 34-82827 | Mar. 8, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 402, Criteria for Underlying Securities
Comments due: April 4, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-03 | ||
| 34-82720 | Feb. 15, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Expand the Short Term Option Series Program
Comments due: March 15, 2018 Additional Materials: Exhibit 5 |
| SR-PEARL-2018-02 | ||
| 34-83039 | Apr. 12, 2018 | Order Granting Approval of a Proposed Rule Change to Adopt Rules Relating to Index Options
Comments due: days after publication in the Federal Register |
| 34-82756 | Feb. 21, 2018 | Notice of Filing of a Proposed Rule Change to Adopt Rules Relating to Trading in Index Options
Comments due: March 20, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-PEARL-2018-01 | ||
| 34-82721 | Feb. 15, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 517A, Aggregate Risk Manager for EEMs ("ARM-E"), and Rule 517B, Aggregate Risk Manager for Market Makers ("ARM-M")
Comments due: March 15, 2018 Additional Materials: Exhibit 5 |