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Federal Register / Vol. 86, No. 104 / Wednesday, June 2, 2021 / Notices persons are subject to the oversight and jurisdiction of the Exchange.
3. Participant authorizes the Exchange to make available to any governmental agency or SRO any information it may have concerning the BSTX Participant or its associated persons, and releases the Exchange from any and all liability in furnishing such information.
4. Participant acknowledges its obligation to update any and all information contained in any part of the BSTX Participants application, including termination of membership with another SRO.
These provisions of the BSTX
Participant Agreement and others therein are generally designed to reflect the Exchanges SRO obligations to regulate BSTX Participants.
Accordingly, these provisions contractually bind a BSTX Participant to comply with Exchange rules, acknowledge the Exchanges oversight and jurisdiction, authorize the Exchange to disclose information regarding the Participant to any governmental agency or SRO and acknowledge the obligation to update any and all Application contained in the Participants application.

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BSTX User Agreement In order to become a BSTX
Participant, prospective participants must also execute a BSTX User Agreement pursuant to proposed Rule 18000b. The BSTX User Agreement, submitted with the proposal as Exhibit 3C, includes provisions related to the term of the agreement, compliance with exchange rules, right and obligations under the agreement, changes to BSTX, proprietary rights under the agreement, use of information received under the relationship, disclaimer of warranty, limitation of liability, indemnification, termination and assignment. The information is necessary to outline the rights and obligations of the prospective Participant and the Exchange under the terms of the agreement. Both the BSTX
Participant Agreement and BSTX User Agreement will be available on the Exchanges website boxoptions.com.
BSTX Security Market Designated Market Maker Selection Form In accordance with proposed Rule 25230b1, BSTX will maintain the BSTX Security Designated Market Maker Selection Form, which has been submitted with the proposal as Exhibit 3D. The issuer may select its DMM from among a pool of DMMs eligible to participate in the process. Within two business days of the issuer selecting its DMM, it will use the BSTX Security Market Designated Market Maker
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Selection form to notify BSTX of the selection. The form must be signed by a duly authorized officer as specified in proposed Rule 25230b1.
Clearing Authorization Forms In accordance with proposed Rule 18010, BSTX Participants that are not members/participants of a registered clearing agency must clear their transactions through a BSTX Participant that is a member of a registered clearing agency. A BSTX Participant clearing through another BSTX Participant would do so using, as applicable, either the BSTX Clearing Authorization nonMarket Maker form submitted with the proposal as Exhibit 3E or the BSTX
Participant Clearing Authorization Market Maker form submitted with the proposal as Exhibit 3F. Each form would be maintained by BSTX and each form specifies that the BSTX Participant clearing on behalf of the other BSTX
Participant accepts financial responsibility for all transactions on BSTX that are made by the BSTX
Participant designated on the form.
BSTX Listing Applications The Exchange proposes to specify the required forms of listing application, listing agreement and other documentation that listing applicants and listed companies must execute or complete as applicable as a prerequisite for initial and ongoing listing on the Exchange, as applicable collectively, listing documentation.
As proposed, the listing forms are substantially similar to those currently in use by NYSE American LLC, with certain differences to account for the trading of Securities. All listing documentation will be available on the Exchanges website boxoptions.com.
Each of the listing documents form a duly authorized representative of the company must sign an affirmation that the information provided is true and correct as of the date the form was signed. In the event that in the future the Exchange makes any substantive changes including changes to the rights, duties, or obligations of a listed company or listing applicant or the Exchange, or that would otherwise require a rule filing to such documents, it will submit a rule filing in accordance with Rule 19b4.322
Pursuant to Rule 26130 and 26300 of the Exchange Rules, a company must file and execute the BSTX Original Listing Application submitted with the proposal as Exhibit 3G or the BSTX
322 The Exchange will not submit a rule filing if the changes made to a document are solely typographical or stylistic in nature.

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Additional Listing Application submitted with the proposal as Exhibit 3H to apply for the listing of Securities on BSTX.323 The BSTX Original Listing Application provides information necessary, and in accordance with Section 12b of the Exchange Act,324 for Exchange regulatory staff to conduct a due diligence review of a company to determine if it qualifies for listing on the Exchange. The BSTX Additional Listing Application requires certain further information for an additional listing of Securities. Relevant factors regarding the company and securities to be listed would determine the type of information required. The following describes each category and use of application information:
1. Corporate information regarding the issuer of the security to be listed, including company name, address, contact information, Central Index Key Code CIK, SEC File Number, state and country of incorporation, date of incorporation, whether the company is a foreign private issuer, website address, SIC Code, CUSIP number of the security being listed and the date of fiscal year end. This information is required of all applicants and is necessary in order for the Exchanges regulatory staff to collect basic company information for recordkeeping and due diligence purposes, including review of information contained in the companys SEC filings.
2. For original listing applications only, corporate contact information including the companys Chief Executive Officer, Chief Financial Officer, Corporate Secretary, General Counsel and Investor Relations Officer.
This information is required of all initial applicants and is necessary in order for the Exchanges regulatory staff to collect current company contact information for purposes of obtaining any additional due diligence information to complete a listing qualification review of the applicant.
3. For original listing applications only, offering and security information regarding an offering, including the type of offering, a description of the issue, par value, number of Securities outstanding or offered, total Securities unissued, but reserved for issuance, date authorized, purpose of Securities to be issued, number of Securities authorized, and information relating to payment of dividends. This information is required of all applicants listing Securities on the 323 Pursuant to proposed Exchange Rule 26130, an applicant seeking the initial listing of its Security must also provide a legal opinion that the applicants Security is a security under applicable United States securities laws.
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