Home » 2024 Issues » 89 FR (08/06/2024) » 2024-17281. Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange,...
2024-17281. Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange,...
OPENING OF ACCOUNTS
BZX
Rule 26.2.
BOX
Rule 4020.
Cboe
Rule 9.1.
C2 *
Cboe Rule 9.1.
EDGX
Rule 26.2.
ISE
Options 10, Section 6.
FINRA
Rules 2360(b)(16) and 2352.
MEMX
Rule 26.2.
MIAX
Rule 1307.
MIAX PEARL
Rule 1307.
MIAX Emerald
Rule 1307.
MIAX Sapphire
Rule 1307.
GEMX
Options 10, Section 6.
MRX
Options 10, Section 6.
PHLX
Options 10, Section 6.1
NYSE ARCA
Rules 9.2-O(a), 9.18-O(b), 9.18-E(b) and 8.4-E.
BX
Options 10, Section 6.
Nasdaq
Options 10, Section 6.
SUPERVISION
NYSE American
Rules 411, 922 and 1104.
BZX
Rule 26.3.
BOX
Rule 4030.
Cboe
Rule 9.2.2
C2 *
Cboe Rule 9.2.2
EDGX
Rule 26.3.
ISE
Options 10, Section 7.
FINRA
Rules 2360(b)(20), 2360(b)(17)(B), 2360(b)(16)(E), 2355 and 2358.
MEMX
Rule 26.3.
MIAX
Rule 1308.
MIAX PEARL
Rule 1308.
MIAX Emerald
Rule 1308.
MIAX Sapphire
Rule 1308.
GEMX
Options 10, Section 7.
MRX
Options 10, Section 7.
PHLX
Options 10, Section 7.
NYSE ARCA
Rules 9.2-O(b), 9.18-O (d)(2)(G) and 8.7-E.
BX
Options 10, Section 7.
Nasdaq
Options 10, Section 7.
SUITABILITY
NYSE American
Rules 923 and 1102.
BZX
Rule 26.4.
BOX
Rule 4040.
Cboe
Rule 9.3.
C2 *
Cboe Rule 9.3.
EDGX
Rule 26.4.
ISE
Options 10, Section 8.
FINRA
Rule 2360(b)(19) and 2353.
MEMX
Rule 26.4.
MIAX
Rule 1309.
MIAX PEARL
Rule 1309.
MIAX Emerald
Rule 1309.
MIAX Sapphire
Rule 1309.
GEMX
Options 10, Section 8.
MRX
Options 10, Section 8.
PHLX
Options 10, Section 8.
NYSE ARCA
Rules 9.18-O(c), 9.18-E(c) and 8.5-E.
BX
Options 10, Section 8.
Nasdaq
Options 10, Section 8.
DISCRETIONARY ACCOUNTS
NYSE American
Rules 421, 924 and 1103.
BZX
Rule 26.5.3
BOX
Rule 4050.
Cboe
Rule 9.4.
C2 *
Cboe Rule 9.4.
EDGX
Rule 26.5.3
ISE
Options 10, Section 9.
FINRA
Rules 2360(b)(18) and 2354.
MEMX
Rule 26.5.3
MIAX
Rule 1310.
MIAX PEARL
Rule 1310.
MIAX Emerald
Rule 1310.
MIAX Sapphire
Rule 1310.
GEMX
Options 10, Section 9.
MRX
Options 10, Section 9.
PHLX
Options 10, Section 9.
NYSE ARCA
Rules 9.18-O(e), 9.18-E(e) and 8.6-E.
BX
Options 10, Section 9.
Nasdaq
Options 10, Section 9.
CUSTOMER COMMUNICATIONS (ADVERTISING)
NYSE American
Rules 8.9E, 991 and 1106.
BZX
Rule 26.16.
BOX
Rule 4170.
Cboe
Rule 9.15.
C2 *
Cboe Rule 9.15.
EDGX
Rule 26.16.
ISE
Options 10, Section 20.
FINRA
Rules 2220 and 2357.
MEMX
Rule 26.16.
MIAX
Rule 1322.
MIAX PEARL
Rule 1322.
MIAX Emerald
Rule 1322.
MIAX Sapphire
Rule 1322.
GEMX
Options 10, Section 20.
MRX
Options 10, Section 20.
PHLX
Options 10, Section 20.
NYSE ARCA
Rules 9.21-O(a), 9.21-O(b), 9.28-O
(c)
and 9.28-E.
BX
Options 10, Section 20.
Nasdaq
Options 10, Section 20.
CUSTOMER COMPLAINTS
NYSE American
Rules 8.8E, 932 and 1105.
BZX
Rule 26.17.
BOX
Rule 4190.
Cboe
Rule 9.17.
C2 *
Cboe Rule 9.17.
EDGX
Rule 26.17.
ISE
Options 10, Section 22.
FINRA
FINRA Rules 2360(b)(17)(A) and 2356.
MEMX
Rule 26.17.
MIAX
Rule 1324.
MIAX PEARL
Rule 1324.
MIAX Emerald
Rule 1324.
MIAX Sapphire
Rule 1324.
GEMX
Options 10, Section 22.
MRX
Options 10, Section 22.
PHLX
Options 10, Section 22.
NYSE ARCA
Rules 9.18-O(I), 9.18-E(l) and 8.8-E.
BX
Options 10, Section 22.
Nasdaq
Options 10, Section 22.
CUSTOMER STATEMENTS
NYSE American
Rules 419 and 930.
BZX
Rule 26.7.
BOX
Rule 4070.
Cboe
Rule 9.6.
C2 *
Cboe Rule 9.6.
EDGX
Rule 26.7.
ISE
Options 10, Section 11.
FINRA
Rule 2360(b)(15).
MEMX
Rule 26.7.
MIAX
Rule 1312.
MIAX PEARL
Rule 1312.
MIAX Emerald
Rule 1312.
MIAX Sapphire
Rule 1312.
GEMX
Options 10, Section 11.
MRX
Options 10, Section 11.
PHLX
Options 10, Section 11.
NYSE ARCA
Rules 9.18-O(j) and 9.18-E(j).
BX
Options 10, Section 11.
Nasdaq
Options 10, Section 11.
CONFIRMATIONS
NYSE American
Rule 925.
BZX
Rule 26.6.
BOX
Rule 4060.
Cboe
Rule 9.5.
C2 *
Cboe Rule 9.5.
EDGX
Rule 26.6.
ISE
Options 10, Section 10.
FINRA
Rule 2360(b)(12).
MEMX
Rule 26.6.
MIAX
Rule 1311.
MIAX PEARL
Rule 1311.
MIAX Emerald
Rule 1311.
MIAX Sapphire
Rule 1311.
GEMX
Options 10, Section 10.
MRX
Options 10, Section 10.
PHLX
Options 10, Section 10.
NYSE ARCA
Rules 9.18-O(f) and 9.18-E(f).
BX
Options 10, Section 10.
Nasdaq
Options 10, Section 10.
ALLOCATION OF EXERCISE ASSIGNMENT NOTICES
NYSE American
Rule 981.
BZX
Rule 23.2.
BOX
Rule 9010.
Cboe
Rule 6.21.
C2 *
Cboe Rule 6.21.
EDGX
Rule 23.2.
ISE
Options 6B, Section 2.
FINRA
Rule 2360(b)(23)(C).
MEMX
Rule 23.2.
MIAX
Rule 701.
MIAX PEARL
Rule 701.
MIAX Emerald
Rule 701.
MIAX Sapphire
Rule 701.
GEMX
Options 6B, Section 2.
MRX
Options 6B, Section 2.
PHLX
Options 6B, Section 2.
NYSE ARCA
Rule 6.25-O(a).
BX
Options 6B, Section 2.
Nasdaq
Options 6B, Section 2.
DISCLOSURE DOCUMENTS
NYSE American
Rules 921 and 926.
BZX
Rule 26.10.
BOX
Rule 4100.
Cboe
Rule 9.9.
C2 *
Cboe Rule 9.9.
EDGX
Rule 26.10.
ISE
Options 10, Section 13.
FINRA
Rule 2360(b)(11).
MEMX
Rule 26.10.
MIAX
Rule 1315.
MIAX PEARL
Rule 1315.
MIAX Emerald
Rule 1315.
MIAX Sapphire
Rule 1315.
GEMX
Options 10, Section 13.
MRX
Options 10, Section 13.
PHLX
Options 10, Section 13.
NYSE ARCA
Rules 9.18-O(g) and 9.18-E(g).
BX
Options 10, Section 13.
Nasdaq
Options 10, Section 13.
BRANCH OFFICES OF MEMBER ORGANIZATIONS
NYSE American
Rule 922(d).4
BOX
Rule 4010(b).
Cboe
Rule 3.40.
C2 *
Cboe Rule 3.40.
ISE
Options 10, Section 5.
FINRA
Rules 2360(b)(20)(B) and 2355.
MIAX
Rule 1306.
MIAX PEARL
Rule 1306.
MIAX Emerald
Rule 1306.
MIAX Sapphire
Rule 1306.
GEMX
Options 10, Section 5.
MRX
Options 10, Section 5.
PHLX
N/A.
NYSE ARCA
Rules 9.18-O(m) and 9.18-E(m).
BX
Options 10, Section 5.
Nasdaq
Options 10, Section 5.
PROHIBITION AGAINST GUARANTEES
NYSE American
Rule 390.
BZX
Rule 26.13.
BOX
Rule 4130.
Cboe
Rule 9.12.
C2 *
Cboe Rule 9.12.
EDGX
Rule 26.13.
ISE
Options 10, Section 16.
FINRA
Rule 2150(b).
MEMX
Rule 26.13.
MIAX
Rule 1318.
MIAX PEARL
Rule 1318.
MIAX Emerald
Rule 1318.
MIAX Sapphire
Rule 1318.
GEMX
Options 10, Section 16.
MRX
Options 10, Section 16.
PHLX
General 9, Section 54(b).
NYSE ARCA
Rules 9.1-O(e), 9.1-E(e) and 9.2150-E(b).
BX
Options 10, Section 16.
Nasdaq
Options 10, Section 16.
SHARING IN ACCOUNTS
NYSE American
Rule 390.
BZX
Rule 26.14.5
BOX
Rule 4140.
Cboe
Rule 9.12(b).
C2 *
Cboe Rule 9.12(b).
EDGX
Rule 26.14.5
ISE
Options 10, Section 17.6
FINRA
Rule 2150(c).
MEMX
Rule 26.14.5
MIAX
Rule 1319.
MIAX PEARL
Rule 1319.
MIAX Emerald
Rule 1319.
MIAX Sapphire
Rule 1319.
GEMX
Options 10, Section 17.6
MRX
Options 10, Section 17.6
PHLX
N/A.
NYSE ARCA
Rules 9.1-O(f) and 9.2150-E(c).
BX
Options 10, Section 17.6
Nasdaq
Options 10, Section 17.6
REGISTRATION OF ROP
NYSE American
Rules 920 and 2.1220(a)(7)(A).
BZX
Rule 17.2(g)(1), (2), (6) and (7).
BOX
Rule 2020(c)(1).
Cboe
Rule 3.36.
C2 *
Cboe Rule 3.36.
EDGX
Rule 17.2(g)(1), (2), (6) and (7).
ISE
Options 10, Section 2.
FINRA
Rule 1220(a)(8).
MEMX
Rule 17.2(g)(1), (2), (6) and (7).
MIAX
Rule 1301.
MIAX PEARL
Rule 1301.
MIAX Emerald
Rule 1301.
MIAX Sapphire
Rule 1301.
GEMX
Options 10, Section 2.
MRX
Options 10, Section 2.
PHLX
Options 10, Section 2.
NYSE ARCA
Rules 9.26-O, 9.26-E and 2.1220(a)(7)(A).
BX
Options 10, Section 2.
Nasdaq
Options 10, Section 2.
CERTIFICATION OF REGISTERED PERSONNEL
NYSE American
Rules 920 and 1220(b).
BZX
Rule 2.5 Interpretation .01(c) and 11.4(e).
BOX
IM-2040-3.
Cboe
Rule 3.37.
C2 *
Cboe Rule 3.37.
EDGX
Rule 2.5 Interpretation .01(c) and 11.4(e).
ISE
Options 10, Section 3.
FINRA
Rule 1220(b) and FINRA By-Laws Article V Sections 2 and 3.
MEMX
Rule 2.5 Interpretation .01(c) and 11.4(e).
MIAX
Rule 1302.
MIAX PEARL
Rule 1302.
MIAX Emerald
Rule 1302.
MIAX Sapphire
Rule 1302.
GEMX
Options 10, Section 3.
MRX
Options 10, Section 3.
PHLX
Options 10, Section 6.
NYSE ARCA
Rules 9.27-O(a), 9.27-E(a) and 2.1220(b).
BX
Options 10, Section 3.
Nasdaq
Options 10, Section 3.
1
FINRA shall not have any Regulatory Responsibility regarding foreign currency option requirements specified in any of the PHLX rules in this Exhibit A.
2
FINRA shall not have any Regulatory Responsibility regarding receipt of written reports by April 1 of each year pursuant to Cboe Rule 9.8(g).
3
FINRA shall not have any Regulatory Responsibility to enforce this rule as to time and price discretion in institutional accounts.
4
FINRA shall not have any Regulatory Responsibility to enforce this rule as to time and price discretion in institutional accounts.
5
FINRA shall not have any Regulatory Responsibility regarding MEMX's, BZX's, and EDGX's requirements to the extent such rules do not contain an exemption addressing immediate family.
6
FINRA shall not have any Regulatory Responsibility regarding Nasdaq's, BX's, ISE's, GEMX's and MRX's requirements to the extent its rule does not permit sharing in the profits and losses of an account upon prior written consent from the customer, or contain an exemption addressing immediate family.
* Cboe Options rule incorporated by reference into C2 Rulebook.
