MEMX Makes Fingerprints Official for Exchange Background Checks
Published Date: 3/9/2026
Notice
Summary
MEMX is making its fingerprint background check process official by adding a new rule that matches what other big exchanges like NYSE already do. This affects anyone who wants to work or partner with MEMX, ensuring safety and trust. The rule is effective immediately with no extra costs, keeping things smooth and secure.
Analyzed Economic Effects
3 provisions identified: 1 benefits, 2 costs, 0 mixed.
Mandatory Fingerprint Checks for MEMX Staff
If you are a prospective or current partner, director, officer, or employee of MEMX, the Exchange will obtain your fingerprints and submit them to the Attorney General (via the FBI) for criminal history identification. The rule codifying this practice became operative upon filing on February 19, 2026 and the Exchange will use Live-Scan electronic capture and may receive and store FBI criminal history record information for evaluation.
Background Screening for Contractors and Temps
MEMX will engage a third party to screen prospective and current temporary personnel, independent contractors, and service providers who may have unsupervised access to facilities and records. The screening will include education verification, a criminal background check, and a drug screening panel.
Exemptions for Limited or Supervised Access
MEMX may decide not to obtain fingerprints for persons whose access to facilities and records is limited, supervised, or restricted. The filing notes the Exchange has not fingerprinted certain directors who do not have unsupervised access.
Your PRIA Score
Personalized for You
How does this regulation affect your finances?
Sign up for a PRIA Policy Scan to see your personalized alignment score for this federal register document and every other regulation we track. We analyze your financial profile against policy provisions to show you exactly what matters to your wallet.
Key Dates
Department and Agencies
Related Federal Register Documents
2026-07651 — Concept Release on Consolidated Audit Trail and Other Audit Trails and Data Sources
The SEC wants your thoughts on how it tracks stock market trades using the Consolidated Audit Trail and other data tools. They’re thinking about updating rules to keep up with new tech, privacy, and security needs, and to make sure the system is fair and cost-effective. If you’re involved in the stock market or data tracking, speak up by June 22, 2026!
2026-09992 — Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 611
The SEC is asking to keep collecting info from about 305 financial firms to make sure they follow Rule 611, which stops bad trades that hurt investors. These firms spend around 60 hours a year updating their rules to avoid trading at worse prices than others. This extension keeps things running smoothly with an estimated yearly cost of about $9.5 million for legal and compliance work.
2026-09960 — Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A, MIAX Emerald Price Improvement Mechanism and PRIME Solicitation Mechanism
MIAX Emerald is updating its rules to let Market Makers join special auctions called PRIME and cPRIME as potential trading partners. This change helps speed up trades and could improve prices for investors using these options. The new rule took effect right after filing on May 1, 2026, so Market Makers and traders should get ready for smoother, faster deals!
2026-09967 — Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter 8 of the Exchange's Rulebook Relating To Investigative and Disciplinary Matters
Cboe EDGX Exchange is updating its rules about how it investigates and disciplines its members and their associates. These changes clarify who the Exchange can discipline and improve the process to keep things fair and clear. The new rules took effect right after filing on May 4, 2026, with no new fees involved.
2026-10015 — U.S. Bancorp, et al.; Notice of Application and Temporary Order
U.S. Bancorp and its partners got a temporary green light to keep doing some fund services despite a court order against BTIG from 2022. This temporary okay lasts until the SEC decides on a permanent solution, so things keep running smoothly without money hiccups. If you want to speak up, you’ve got until June 9, 2026, to ask for a hearing.
2026-09990 — Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend 24X Rule 1.5(c) To Extend by Seven (7) Months the Deadline by Which 24X Must File With the Commission the 24X Market Session Proposed Rule Change Regarding the Commencement of the 24X Market Session
24X National Exchange is getting an extra seven months to file a rule change about when their market session starts. This gives them more time to get everything just right before sharing it with the SEC. Traders and market watchers should keep an eye out for updates, but no money changes or risks are happening right now.
Previous / Next Documents
Previous: 2026-04504 — Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 11.6(q)(1)
24X National Exchange is updating its rule about what counts as a 'round lot'—basically, the standard number of shares in a trade—to match a new national definition that started in November 2025. This change affects traders and brokers using 24X, making sure everyone’s on the same page with the latest rules. The update is effective immediately, so no waiting around, and it helps keep trading smooth and fair.
Next: 2026-04506 — Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Stress Testing Framework
The Depository Trust Company (DTC) and its partners are updating their stress testing rules to better prepare for financial shocks. This change affects big financial players who rely on DTC to keep markets safe and smooth. The new rules kick in right away, helping protect the system without costing extra money.