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Alerts and Notices Regulatory Notices

Regulatory Notice 22-05: Consolidated Audit Trail (“CAT”) Full Customer Account Information System (“CAIS”) Production Certification and Compliance Deadlines Extended

Date: June 3, 2022 Description: The Participants have decided to postpone the full Customer Account Information System (“CAIS”) compliance deadline from July 11, 2022, to a date projected to be in Q4 2022. 

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Alerts and Notices Regulatory Notices Uncategorized

Regulatory Notice 22-04: Mandatory Participation in Market-Wide Circuit Breaker Testing

Date: April 21, 2022 Description:  Certain members designated by MEMX are now required to participate in at least one industry-wide Market-Wide Circuit Breaker test each year.

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Alerts and Notices Regulatory Notices

Regulatory Notice 22-03: Continuing Education Program Requirements

Date: March 11, 2022 Description: Continuing Education Program Amendments

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Alerts and Notices Regulatory Notices

Regulatory Notice 22-02: CAT Clock Synchronization Certification Reminder – Due March 15th

Date: February 10, 2022 Description: CAT Clock Synchronization Certification Reminder – Due March 15th

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Alerts and Notices Regulatory Notices

Regulatory Notice 22-01: Mandatory Participation in Regulation SCI Disaster Recovery Testing

Date: February 2, 2022 Description: Mandatory Participation in Regulation SCI Disaster Recovery Testing  

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Alerts and Notices Regulatory Notices

Regulatory Notice 21-07: CT Plan Non-SRO Voting Representatives – Nomination Submissions

Date: September 16, 2021 Description: At the request of the current Advisory Committee to the CTA/UTP Plans, MEMX is publishing notice to request nominations from the public for the initial Non-SRO Voting Representatives.

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Regulatory Notices

Regulatory Notice 21-06: Nominations for Member Representative Director

Date: July 26, 2021 Description: Notice of Annual Meeting and Nominees for Member Representative Director Positions on the Exchange’s Board of Directors

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Alerts and Notices Regulatory Notices

Regulatory Notice 21-05: Test Symbol Usage

Date: May 6, 2021 Description: Regulatory notice providing guidance on test symbol usage and highlighting certain prohibited activity related to test symbol orders.

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Alerts and Notices Regulatory Notices

Regulatory Notice 21-04: CAT Clock Synchronization Certification Reminder – Due March 15th

Date: March 5, 2021 Description: CAT Clock Synchronization Certification Reminder – Due March 15th

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Alerts and Notices Regulatory Notices

Regulatory Notice 21-03: Waiver of Requirement for Certain Members to Provide Broker-Dealer Annual Reports (Including Audited Financials) to MEMX

Date: February 4, 2021 Description: Waiver of Requirement for Members for Which MEMX is Not the DEA to Provide Broker-Dealer Annual Reports (Including Audited Financials) to MEMX