2024-15909. Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry ...

PHLX Rule	FINRA Rule(s), Exchange Act Provision(s), or SE A [C] Rule(s) [ULE]
General 2, Section 11 Contact Information Requirements  #	4517. Member Filing and Contact Information Requirements.
General 3, Rule 1002(b) Qualifications of Exchange Members and Associated Persons; Registration of Branch Offices and Designation of Office of Supervisory Jurisdiction  #	FINRA By-Laws Article III, Sec. 1; FINRA By-Laws Article III, Sec. 3(a) and (b).
General 3, Rule 1002(d). Qualifications of Exchange Members and Associated Persons; Registration of Branch Offices and Designation of Office of Supervisory Jurisdiction  #	3110(a)(3) Supervision and SM .01 and .02. Supervision * and FINRA By-Laws Article IV, Sec. 8.
General 3, Rule 1012(c)(1). Duty to Ensure the Accuracy, Completeness, and Current Nature of Membership Information Filed with the Exchange  #	1122. Filing of Misleading Information as to Membership or Registration; FINRA By-Laws Article IV, Sec. 1(c).
General 4, Section 1, 1210. Registration Requirements  #	1210. Registration Requirements; FINRA By-Laws, Article V, Sec. 1; FINRA By-Laws, Article V, Sec. 2; FINRA By-Laws, Article V, Sec. 3.
General 4, Section 1, 1220. Registration Categories 1 #	1220. Registration Categories.
General 4, Section 1, Rule 1230(1)-(2)(D) and Supplementary Material .01. Associated Persons Exempt from Registration #	1230. Associated Persons Exempt from Registration.
General 4, Section 1, 1240. Continuing Education Requirements 2 #	1240. Continuing Education.
General 4, Section 1, 1250. Electronic Filing Requirements for Uniform Forms  #	1010. Electronic Filing Requirements for Uniform Forms.
General 9, Section 1(b). Manipulative Operations and General 9, Section 2(b)(i) Customers' Securities and Excessive Trading of Members	2020. Use of Manipulative, Deceptive or Other Fraudulent Devices *; 6140 Other Trading Practices; 5350 Stop Orders; 6130 Transactions Related to Initial Public Offerings.
General 9, Section 1(c)(1). Standards of Commercial Honor and Principles of Trade	2010. Standards of Commercial Honor and Principles of Trade.*
General 9, Section 1(a). Prohibition Against Trading Ahead of Customer Orders	5320. Prohibition Against Trading Ahead of Customer Orders.
General 9, Section 1(c)(2). Anti-Intimidation/Coordination	5240. Anti-Intimidation/Coordination.
General 9, Section 1(c)(3). Conduct Inconsistent with Just and Equitable Principles of Trade	5290. Order Entry and Execution Practices.
General 9, Section 2(a). Customers' Securities and Excessive Trading of Members	2150(a). Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts.
General 9, Section 11. Best Execution and Interpositioning	5310. Best Execution and Interpositioning.
General 9, Section 19. Discretionary Accounts	3260. Discretionary Accounts.
General 9, Section 20. Supervision	3110. Supervision.
General 9, Section 30. Books and Records	4511. General Requirements.
General 9, Section 35. Nonregistered Foreign Finders	Rule 2040(c). Payments to Unregistered Persons.
General 9, Section 39. Fidelity Bonds	4360. Fidelity Bonds.
General 9, Section 58. Advertisements, Market Letters, Research Reports and Sales Literature	2210. Communications with the Public.
Options 6E, Section 1(a). Maintenance, Retention and Furnishing of Books, Records and Other Information  #	4511(a). General Requirements.
Options 10, Section 7(g) and (h).# Supervision of Accounts	3120. Supervisory Control System 3130. Annual Certification of Compliance and Supervisory Processes.
Options 10, Section 10. Confirmations to Customers	2232. Customer Confirmations.
Options 10, Section 17. Profit Sharing	2150(c). Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts.
General 9, Section 11. Best Execution and Interpositioning	5310. Best Execution and Interpositioning.**
General 9, Section 1(a) Prohibition Against Trading Ahead of Customer Orders	5320. Prohibition Against Trading Ahead of Customer Orders.**
Equity 2, Section 5(d) Locked and Crossed Markets	6240. Prohibition from Locking or Crossing Quotations in NMS Stocks.**
1  FINRA shall only have Regulatory Responsibilities regarding General 4, Section 1, 1200 to the extent that PHLX recognizes the same categories of limited principal and representative registration.
2  FINRA Rule 1240.01 allows for other persons to make their election to participate in the continuing education program under Rule 1240(c) either (1) between January 31, 2022, and March 15, 2022; or (2) between March 15, 2023, and December 31, 2023. In contrast, Supplementary Material .02 of Nasdaq PHLX General 4, Section 1, 1240 allows for other persons to make their election to participate in the continuing education program under PHLX General 4, Section 1, 1240(c) either (1) by March 15, 2022, or (2) between July 6, 2023, and December 31, 2023. Therefore, FINRA shall not have Regulatory Responsibilities regarding election, made by other persons under General 4, Section 1, 1240(c) between March 15, 2023, and July 5, 2023.
[In addition, the following provisions shall be part of this 17d-2 Agreement:]
The following provisions are covered by the Agreement between the Parties:
• SEC '34 Act Section 28(e)—on Existing Law
• [SEC '34 Act] SEA Rule 10b-10—Confirmation of Transactions
• SEA Rule 200 of Regulation SHO—Definition of Short Sales and Marking Requirements **
• SEA Rule 201 of Regulation SHO—Circuit Breaker **
• [SEC '34 Act] SEA Rule 203 of Regulation SHO—Borrowing and Delivery Requirements
• SEA Rule 204 of Regulation SHO—Close-Out Requirements **
• SEA Rule 101 of Regulation M—Activities by Distribution Participants **
• SEA Rule 102 of Regulation M—Activities by Issuers and Selling Security Holders During a Distribution **
• SEA Rule 103 of Regulation M—Nasdaq Passive Market Making **
• SEA Rule 104 of Regulation M—Stabilizing and Other Activities in Connection with an Offering **
• SEA Rule 105 of Regulation M—Short Selling in Connection With a Public Offering **
• SEA Rule 604 of Regulation NMS—Display of Customer Limit Orders **
• [SEC '34 Act] SEA Rule 606 of Regulation NMS—Disclosure of Order Routing Information
• [SEC '34 Act Rule 607 of Regulation NMS Customer Account Statements]
• SEA Rule 610(d) of Regulation NMS—Locking or Crossing Quotations **
• SEA Rule 611 of Regulation NMS—Order Protection Rule
• SEA Rule 10b-5—Employment of Manipulative and Deceptive Devices *
• SEA Rule 17a-3/17a-4—Records to Be Made by Certain Exchange Members, Brokers and Dealers/Records to Be Preserved by Certain Exchange Members, Brokers and Dealers *
• SEA Rule 14e-4—Prohibited Transactions in Connection with Partial Tender Offers[^]
• SEA Rule 14e-4(a)(1)(ii)(D)—Prohibited Transactions in Connection with Partial Tender Offers (with a focus on the standardized call option provision) **
[^ FINRA shall perform surveillance, investigation, and Enforcement Responsibilities for SEA Rule 14e-4(a)(1)(ii)(D).]
**  In addition to performing examinations and Enforcement Responsibilities as provided in this Agreement for the double star rules, FINRA shall also perform the surveillance and investigation responsibilities for the double star rules. These rules may be cited by FINRA in both the context of this Agreement and the Regulatory Services Agreement between FINRA and PHLX.
* FINRA shall not have any Regulatory Responsibilities for these rules as they pertain to violations of insider trading activities, which is covered by a separate 17d-2 Agreement by and among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange Inc., Cboe EDGX Exchange Inc., Financial Industry Regulatory Authority, Inc., MEMX, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange, LLC, NYSE American LLC, NYSE Arca Inc., Investors' Exchange LLC, and the Long-Term Stock Exchange, Inc. as approved by the SEC on September 23, 2020 , as may be amended from time to time.
^  FINRA shall perform the surveillance and investigation responsibilities for these rules. The examination responsibility for these rules is covered by a separate 17d-2 Agreement by and among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., BOX Exchange LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., MEMX LLC, Nasdaq ISE, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, Investors Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc. and Long-Term Stock Exchange, Inc. as approved by the SEC on June 10, 2020 concerning covered Regulation NMS and Consolidated Audit Trail Rules, as may be amended from time to time.