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Alerts and Notices Regulatory Notices

Regulatory Notice 20-07: Proposed NMS Plan Regarding Consolidated Equity Market Data

Date: September 18, 2020 Description: Proposed National Market System Plan Regarding Equity Market Data

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Alerts and Notices Regulatory Notices

Regulatory Notice 20-06: Changes to MRVP to Add CAT Compliance Rules

Date: September 15, 2020 Description: Adoption of Changes to Minor Rule Violation Plans Adding CAT Reporting Compliance Rules

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Alerts and Notices Regulatory Notices

Regulatory Notice 20-05: Collection of Exchange Fees (Direct Debit)

Date: September 14, 2020 Description: Collection of Exchange Fees and Other Claims and Billing Policy

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Alerts and Notices Regulatory Notices

Regulatory Notice 20-04: Excused Withdrawals of Market Maker Quotations

Date: August 11, 2020 Description: Excused Withdrawals of Market Maker Quotations

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Alerts and Notices Regulatory Notices

Regulatory Notice 20-03: CMRWG Presentation on CAT Compliance

Date: July 17, 2020 Description: Cross Market Regulation Working Group (“CMRWG”) Industry Presentation on CAT Compliance

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Alerts and Notices Regulatory Notices

Regulatory Notice 20-02: MEMX Regulation Member Outreach

Date: July 15, 2020 Description: MEMX Regulation Member Outreach — Member Firm Compliance Obligations, Document Submission, Electronic Blue Sheets, and CRD

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Alerts and Notices Regulatory Notices

Regulatory Notice 20-01: Nominations for Member Representative Director

Date: June 8, 2020 Description: Notice of Annual Meeting and Nominees for Member Representative Director Positions on the Exchange’s Board of Directors