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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

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Alerts and Notices Regulatory Notices

Regulatory Notice 21-02: Mandatory Participation in Regulation SCI Disaster Recovery Testing

Date: February 1, 2021 Description: Mandatory Participation in Regulation SCI Disaster Recovery Testing  

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Alerts and Notices Regulatory Notices

Regulatory Notice 21-01: CRD Registration Reminder

Date: January 20, 2021 Description: CRD Registration Reminder for MEMX LLC

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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