Federal Register #SR-MIAX-2026-27

SEC Notice: MIAX Proposed Rule Change on Statutory Disqualification

This notice concerns a proposed rule change by Miami International Securities Exchange, LLC (MIAX) as published by the Securities and Exchange Commission (SEC): - Government buyer: Securities and Exchange Commission (SEC) - OEMs and organizations referenced: - Miami International Securities Exchange, LLC (MIAX) - Financial Industry Regulatory Authority, Inc. (FINRA) - Cboe Exchange, Inc. - New York Stock Exchange (NYSE) - Investors Exchange (IEX) - Nasdaq - No products or services are being procured; this is a regulatory notice - The rule change amends MIAX Rule 100 (Definitions) and Rule 204 (Members and Persons Associated With a Member Who Are or Become Subject to a Statutory Disqualification) - The amendment aims to harmonize MIAX's rules with FINRA and other industry standards - A Statutory Disqualification Circular is included to outline eligibility procedures - The goal is to improve regulatory compliance efficiency for dual members - No contract value, period of performance, or procurement requirements are present

Description

The Securities and Exchange Commission announced the filing and immediate effectiveness of a proposed rule change by Miami International Securities Exchange, LLC. The rule change amends Rule 100 (Definitions) and Rule 204 (Members and Persons Associated With a Member Who Are or Become Subject to a Statutory Disqualification). The purpose is to update the rules to better address statutory disqualifications of members and associated persons, harmonizing with FINRA rules and industry standards. The proposal includes a Statutory Disqualification Circular outlining eligibility procedures and aims to provide greater regulatory compliance efficiency for dual members.

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