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Federal Register / Vol. 86, No. 18 / Friday, January 29, 2021 / Notices 15. Amendment. This Agreement may be amended in writing duly approved by each party. All such amendments must be filed with and approved by the Commission before they become effective.
16. Limitation of Liability. Neither FINRA nor NYSE Arca nor any of their respective directors, governors, officers or employees shall be liable to the other party to this Agreement for any liability, loss or damage resulting from or claimed to have resulted from any delays, inaccuracies, errors or omissions with respect to the provision of Regulatory Responsibilities as provided hereby or for the failure to provide any such responsibility, except with respect to such liability, loss or damages as shall have been suffered by one or the other of FINRA or NYSE Arca and caused by the willful misconduct of the other party or their respective directors, governors, officers or employees. No warranties, express or implied, are made by FINRA or NYSE Arca with respect to any of the responsibilities to be performed by each of them hereunder.
17. Relief from Responsibility.
Pursuant to Sections 17d1A and 19g of the Exchange Act and Rule 17d 2 thereunder, FINRA and NYSE Arca join in requesting the Commission, upon its approval of this Agreement or any part thereof, to relieve NYSE Arca of any and all responsibilities with respect to matters allocated to FINRA
pursuant to this Agreement; provided, however, that this Agreement shall not be effective until the Effective Date.
18. Severability. Any term or provision of this Agreement that is invalid or unenforceable in any
jurisdiction shall, as to such jurisdiction, be ineffective to the extent of such invalidity or unenforceability without rendering invalid or unenforceable the remaining terms and provisions of this Agreement or affecting the validity or enforceability of any of the terms or provisions of this Agreement in any other jurisdiction.
19. Counterparts. This Agreement may be executed in one or more counterparts, each of which shall be deemed an original, and such counterparts together shall constitute one and the same instrument.
20. Separate Agreement. This Agreement is wholly separate from 1
the multiparty Agreement made pursuant to Rule 17d2 of the Securities Exchange Act of 1934 between the NYSE American LLC, Cboe BZX
Exchange, Inc., the Cboe EDGX
Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, BOX
Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, and MIAX Emerald, LLC involving the allocation of regulatory responsibilities with respect to common members for compliance with common rules relating to the conduct by broker-dealers of accounts for listed options or index warrants entered into on February 12, 2019, and as may be amended from time to time or 2 the multiparty Agreement made pursuant to Rule 17d2 of the Exchange Act among NYSE American LLC, Cboe
BZX Exchange, Inc., the Cboe EDGX
Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, BOX
Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, and MIAX Emerald, LLC approved by the Commission on February 11, 2019 involving options related market surveillance matters and such agreements as may be amended from time to time.

Exhibit 1
NYSE ARCA Certification NYSE Arca Rules Certification for 17d 2 Agreement With FINRA
NYSE Arca, Inc. hereby certifies that the requirements contained in the rules listed below are identical to, or substantially similar to the comparable FINRA Rules and bylaws identified Common Rules.
Common Rules shall not include provisions regarding i notice, reporting or any other filings made directly to or from NYSE Arca, ii incorporation by reference of other NYSE Arca Rules that are not Common Rules iii exercise of discretion in a manner than differs from FINRAs exercise of discretion including, but not limited to exercise of exemptive authority, by NYSE Arca, iv prior written approval of NYSE Arca, and v payment of fees or fines to NYSE
Arca.

NYSE Arca Rules 1

FINRA Rules
2.16 Responsibilities of Non-Resident Firms
2.1210 Registration Requirements
2.1220 Registration Categories 2

11.19 Anti-Money Laundering Compliance Program
11.20 Miscellaneous Provisionsa1 and 3

FINRA Rule 1021 Foreign Members.
FINRA Rule 1210 Registration Requirements.
FINRA Rule 1220a14, 7, 8, 10, and b1, 2 and 4, SM. 01.06
Registration Categories.
FINRA Rule 1230a and SM. 01, Associated Persons Exempt from Registration.
FINRA Rule 4511 General Requirements.
FINRA Rule 2010 Standards of Commercial Honor and Principals of Trade.
FINRA Rule 2010 Standards of Commercial Honor and Principals of Trade, FINRA Rule 1122 Filing of Misleading Information as to Membership or Registration, and FINRA By-Laws Article XIII, Section 1.
FINRA Rule 6140c Other Trading Practices.
FINRA Rule 4530a1A, a1C, a1D & 2 Reporting Requirements and FINRA By-Laws Article V, Section 2.
FINRA Rule 3110a, b1 and f Supervision, and FINRA Rule 1220a1
4, 7, 8, 10 Registration Categories.
FINRA Rule 3310 Anti-Money Laundering Compliance Program.
FINRA Rule 6140 Other Trading Practices.

NYSE Arca Equities Rules 4

FINRA Rules
2.24 Registration-Employees of ETP Holders and Commentary .02 5.

FINRA Rule 1210 Registration Requirements, FINRA Rule 1010a and c Electronic Filing Requirements for Uniform Forms, and FINRA By-Laws Article V, Sec. 2 Application for Registration.

2.1230 Associated Persons Exempt from Registration
2.28 Books and Records
11.1b Adherence to Law and Good Business Practice
11.2 Prohibited Acts

11.10 Excessive Trading
11.13 Disciplinary Action By Other Organizations
11.18 Supervision 3
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