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NYSE Arca,Rule 0.,NYSE Arca,Regulation of the Exchange, OTP Holders, OTP Firms and ETP Holders


The Exchange and the Financial Industry Regulatory Authority, Inc. (“FINRA”) are parties to a Regulatory Services Agreement (“RSA”) pursuant to which FINRA has agreed to perform certain regulatory functions of the Exchange on behalf of the Exchange. Exchange Rules that refer to Exchange staff and Exchange departments should be understood as also referring to FINRA staff and FINRA departments acting on behalf of the Exchange pursuant to the RSA, as applicable. Notwithstanding the fact that the Exchange has entered into an RSA with FINRA to perform certain of the Exchange’s functions, the Exchange shall retain ultimate legal responsibility for, and control of, such functions.

Approved: June 22, 2010 (PCX-2010-054); May 24, 2016 (NYSEArca-2016-11); August 17, 2017 (NYSEArca-2017-40).

History of predecessor NYSE Arca Equities Rule: June 22, 2010 (NYSEArca-2010-53); May 24, 2016 (NYSEArca-2016-11).

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