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Effective Rule Filings Rule Filings

SR-MEMX-2020-07: Amendment to Rule 2.4

Date Filed: September 4, 2020 Description: Proposed rule change to amend the manner in which MEMX will designate certain Members to participate in its mandatory disaster recovery testing, pursuant to Regulation SCI and MEMX Rule 2.4 for calendar year 2020.

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Effective Rule Filings Rule Filings

SR-MEMX-2020-06: Adoption of Rule 15.3 Related to Collection of Exchange Fees

Date Filed: August 28, 2020 Description: Proposed rule change to adopt Rule 15.3 and entitle it “Collection of Exchange Fees and Other Claims and Billing Policy.”

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Effective Rule Filings Rule Filings

SR-MEMX-2020-05: Amendment to LLC Agreement of MEMX Holdings

Date Filed: August 28, 2020 Description: Proposed rule change to amend the Fourth Amended and Restated Limited Liability Company Agreement of MEMX Holdings LLC.

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Effective Rule Filings Rule Filings

SR-MEMX-2020-04: Amendment to Exchange System Functionality

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.

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Effective Rule Filings Rule Filings

SR-MEMX-2020-03: Amendment to MRVP to Add CAT Compliance Rules

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.

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Effective Rule Filings Rule Filings

SR-MEMX-2020-02: Amendment to CAT Compliance Rules

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.

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Effective Rule Filings Rule Filings

SR-MEMX-2020-01: Amendment to CAT Compliance Rules

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.