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Federal Register / Vol. 86, No. 18 / Friday, January 29, 2021 / Notices NYSE Arca Equities Rules 4

FINRA Rules
6.7440E Recording of Order Information
6.7450E Order Data Transmission Requirements
6.7460E Violation of Order Audit Trail System Rules
6.7470E Exemption to the Order Recording and Data Transmission Requirements .

FINRA Rule 7440 Recording of Order Information.
FINRA Rule 7450 Order Data Transmission Requirements.
FINRA Rule 7460 Violation of Order Audit Trail System Rules.
FINRA Rule 7470 Exemption to the Order Recording and Data Transmission Requirements.

NYSE Arca Options Rules 11

FINRA Rules
2.23a RegistrationOTPs

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.
FINRA Rule 1210 and SM .03 and .07 Registration Requirements, and FINRA
Rule 1220a2, 7 and b2 Registration Categories.
FINRA Rule 1210 SM .03 and .08 Registration Requirements.
FINRA Rule 1240 Continuing Education Requirements.

2.23b1 and 3 Registration
2.23c and .04 Registration
2.23d and .03 Registration and 9.27Oc Continuing Education Requirements.
2.23j Registration
9.1Oc Office Supervision
9.1Od OTP Holders
9.2Oc Customer Records
9.3Oa Employee Accounts
9.3Ob OTP Firms, OTP Holder Accounts
9.4O Proxies Voting
9.5O Solicitation Expense
9.6Oa Discretion as to Customers Accounts and 9.6Ob Records of Discretionary Accounts.
9.6Oc Marking Discretionary Orders
9.7Ob Use Customer Securities

9.7Oc Customer ProtectionReserves and Customers Securities.
9.7Od Agreements for Use of Customer Securities
9.11O Confirmations
9.12O COD OrdersPartial Delivery
9.14O Account Designation
9.15O Statements of Accounts to Customers
9.16O Statement or Notice on Interest
9.18Oh Doing a Public Business in Options
9.19O Transfer of Accounts
9.20Ob Telemarketing
9.29O Borrowing From or Lending to Customers

FINRA By-Laws Article V, Section 2 Application for Registration.
FINRA Rule 3110a Supervision.
FINRA Rule 3110a Supervision.
FINRA Rule 4512 Customer Account Information.12
FINRA Rule 3210 Accounts at Other Broker-Dealers and Financial Institutions.10
FINRA Rule 3210 Accounts at Other Broker-Dealers and Financial Institutions.
FINRA Rule 2251b Forward of Proxies and Other Issuer-Related Materials.
FINRA Rule 2251c1b Forward of Proxies and Other Issuer-Related Materials.
FINRA Rule 3260 Discretionary Accounts and FINRA Rule 4512a3 Customer Account Information.
FINRA Rule 3260 Discretionary Accounts.
FINRA Rule 2150a Improper Use of Customers Securities or Funds Prohibition and FINRA Rule 2010 Standards of Commercial Honor and Principles of Trade.
FINRA Rule 4330b1A Customer ProtectionPermissible Use of Customers Securities and SM .01 Definitions.
FINRA Rule 4330a Customer ProtectionPermissible Use of Customers Securities.
Temporary Dual FINRA NYSE Member Rule 409Tb Statements of Accounts to Customers.11
FINRA Rule 11860 COD Orders.
FINRA Rule 4515 Approval and Documentation of Changes in Account Name or Designation.
FINRA Rule 2231 Customer Account Statements.
FINRA Rule 2360b15 Options, FINRA Rule 2231a Customer Account Statements.
FINRA Rule 2360b13 Options.
FINRA Rule 11870 Customer Account Transfer Contracts.
FINRA Rule 3230 Telemarketing.
FINRA Rule 3240 Borrowing From or Lending to Customers.

1 The
rules in this section apply to ETP Holders, OTP Holders and OTP Firms, where applicable.
shall not have Regulatory Responsibilities for Rule 2.1220a4B to the extent FINRA exempts a member from the requirement to have a Financial and Operations Principal.
3 FINRA shall not have Regulatory Responsibilities regarding NYSE Arca Rule 11.18d.
4 The rules in this section apply specifically to ETP Holders.
5 This Certification only applies to the first two sentences of Rule 2.24, which are not enumerated, and Commentary .02. Certifications to other parts of Rule 2.24 appear elsewhere in this Exhibit.
6 FINRAs requirements do not include an exercise of due diligence as to every order.
7 FINRA shall not have Regulatory Responsibilities for NYSE Arca Rule 9.2Ec Commentary .01.03 as it relates to institutional accounts and responsibility for such rule shall remain with NYSE Arca.
8 FINRA shall not have any Regulatory Responsibilities with respect to employees of NYSE Arca.
9 FINRA shall only have Regulatory Responsibilities to the extent the Common Member is subject to FINRAs Temporary Dual FINRANYSE
Member Rule.
10 FINRA shall not have Regulatory Responsibilities for NYSE Arca Rule 5190Ee.
11 The rules in this section apply specifically to OTP Holders.
12 FINRA shall not have Regulatory Responsibilities for NYSE Arca Rule 9.2Oc Commentary .01.03 as it relates to institutional accounts and responsibility for such rule shall remain with NYSE Arca.
FINRA shall not have any Regulatory Responsibilities for these rules as they pertain to violations insider trading activities, which is covered by a separate 17d2 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 Long-Term Stock Exchange, Inc. effective September 23, 2020, as may be amended from time to time.
2 FINRA

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