Date: August 11, 2020 Description: Excused Withdrawals of Market Maker Quotations
Author: Anders Franzon
Date Filed: August 4, 2020 Description: Proposed rule change to amend various Exchange Rules to make changes to proposed Exchange System functionality prior to the launch of the Exchange.
Date Filed: July 31, 2020 Description: Proposed rule change to add the Consolidated Audit Trail industry member compliance rules to the list of minor rule violations in Rule 8.15 and to make an additional change to paragraph (a) of Rule 8.15.
Date Filed: July 31, 2020 Description: Proposed rule change to amend Rule 4.5, a part of the Exchange’s compliance rules regarding the National Market System Plan Governing the Consolidated Audit Trail (“CAT NMS Plan”), to be consistent with an amendment to the CAT NMS Plan recently approved by the Commission.
Date: July 17, 2020 Description: Cross Market Regulation Working Group (“CMRWG”) Industry Presentation on CAT Compliance
Date: July 15, 2020 Description: MEMX Regulation Member Outreach — Member Firm Compliance Obligations, Document Submission, Electronic Blue Sheets, and CRD
Date Filed: June 23, 2020 Description: Proposed rule change to amend the Exchange’s compliance rules regarding the National Market System Plan Governing the Consolidated Audit Trail (“CAT NMS Plan”) to be consistent with certain exemptions from the CAT NMS Plan as well as to facilitate the retirement of certain existing regulatory systems.
Date: June 8, 2020 Description: Notice of Annual Meeting and Nominees for Member Representative Director Positions on the Exchange’s Board of Directors