Notice
12 Feb 2025
securities, options trading, trading floor, exchange, miami, fines, regulatory changes, compliance
⚖️MIAX Sapphire Proposes New Fines for Minor Regulatory Violations
MIAX Sapphire is seeking to implement amendments to Exchange Rule 1014 concerning the imposition of fines for minor rule violations on its Trading Floor. The proposed changes underscore the need for compliance with updated trading conduct rules while promoting orderly market operations within the exchange framework.
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Notice
4 Feb 2025
compliance, regulation, securities, self-regulatory organizations, miami, fines
📈MIAX Emerald's Minor Rule Violation Plan
The Securities and Exchange Commission has declared effective MIAX Emerald, LLC's minor rule violation plan, permitting the exchange to impose fines for specific minor violations without engaging in formal disciplinary actions. The plan streamlines the enforcement process while ensuring ongoing compliance with regulatory standards.
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Compliance, Regulatory
22 Jan 2025
regulatory compliance, clean water act, consent decree, idaho, fines, city of driggs, environmental impacts