ALL MEMBERS, MEMBER ORGANIZATIONS, AND COMPLIANCE OFFICERS

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1 Information Memo Market Surveillance NYSE Regulation, Inc. 11 Wall Street New York, NY nyse.com Number November 25, 2008 TO: SUBJECT: ALL MEMBERS, MEMBER ORGANIZATIONS, AND COMPLIANCE OFFICERS Reminder: Reporting Requirements Related to Planned Transfer of Equities Operations to NYSE Alternext US LLC This Is Being Issued Jointly By NYSE Alternext US and NYSE Regulation, Inc. Purpose The purpose of this Notice is to update and reiterate the reporting requirements previously disseminated via NYSE Information Memo 08-44, and NYSE Alternext Regulatory Notice Those publications notified all members and member organizations that, in connection with the planned relocation of NYSE Alternext ( Alternext ) equities trading to NYSE Alternext Trading Systems and facilities located at 11 Wall Street, all Alternext members and member organizations that trade in Alternext listed equities including upstairs member organizations which trade electronically on Alternext, and are planning on relocating equities operations to NYSE Alternext Trading Systems, will be required to make certain submissions pursuant to applicable regulatory requirements upon relocation to the NYSE Alternext Trading Systems. The requirements described below are applicable to equities and exclude Exchange Traded Funds and other structured products ( ETFs ) and options, which will transfer to NYSE Arca. Please pay particular attention to the guidance provided in the DMM Equity Trading Reporting section and the NYSE Alternext Form 121 and SS20 Reporting section as this guidance has changed. Background On October 1, 2008, NYSE Euronext completed its acquisition of the American Stock Exchange(R). On December 1, 2008, NYSE Alternext US equities trading currently conducted on trading systems at 86 Trinity Place, will be relocated to the NYSE Alternext US Trading Systems and facilities located at 11 Wall Street. In addition, with

2 the Securities and Exchange Commission s ("SEC") approval, has adopt rules that are virtually identical to current NYSE rules applicable to the NYSE Hybrid Market sm governing equities trading, since such rules reflect the market structure and features of the NYSE Alternext Trading Systems. 1 See SR-Amex , which sets forth the rule changes applicable to equities trading and other related requirements, as well as SR- Amex with respect to other rule changes applicable to Alternext members and member organizations. Although NYSE Alternext and the NYSE will share certain facilities and the NYSE Alternext rules are extremely similar to the current NYSE rules, NYSE Alternext and NYSE will act as two independent exchanges. Additionally, these two exchanges will have two distinct SROs. NYSE Alternext members and member organizations will be obligated to meet a variety of reporting and other regulatory requirements specified in the equities trading rules. Key aspects of these requirements are described in this Notice. Alternext members and member firms with a Floor presence will be prohibited from trading on NYSE Alternext US Trading Systems if they have not previously submitted written supervisory procedures to FINRA Please see Amex Notice REG and for more details. Discussion The following information only highlights major equities-related regulatory requirements for the benefit of prospective NYSE Alternext members and member organizations. This information does not encompass all members and member organizations obligations or responsibilities under NYSE Alternext rules and/or federal securities laws. It is the responsibility of all members and member organizations to be familiar and comply with all applicable NYSE Alternext rules and federal securities rules and regulations. Unless otherwise indicated within the individual sections, prospective NYSE Alternext equity members and member organizations must be compliant with the below requirements prior to the actual relocation date, which is scheduled for December 1, Front End System Capture ( FESC ) FESC reporting will be required immediately upon relocation to NYSE Alternext. NYSE Alternext Rules 123(e) and (f) require that Floor members submit order information in the FESC database before the orders are represented on the Floor, and also requires all reports of execution related to such orders be reported through FESC. Additionally, Rule 123 (Record of Orders) requires that specific data elements be recorded when an order is entered, and the related execution is reported. Further, NYSE Alternext Rule 130(c) and (c)(ii) requires that transactions executed on NYSE Alternext must be compared or closed out by the day following the execution, and that each party to the transaction must submit trade data to such facility that the Exchange may develop and implement to facilitate comparison of transactions effected on the Exchange. 1 A major distinction between the NYSE Alternext rules and the current NYSE rules is the treatment of clearly erroneous errors, which is further described in SR-Amex Currently, there are no plans for NYSE Alternext to adopt the current NYSE clearly erroneous rules and procedures found in NYSE Rule 128, as the current NYSE version is under revision.

3 To ensure compliance with the FESC requirements, member organizations should thoroughly review the requirements of NYSE Alternext Rule 123 and Rule 130 in conjunction with the relevant previous NYSE Information Memos including, but not limited to, Information Memos 05-13, 06-67, and These Information Memos provide the programming requirements for all proprietary or vendor-provided order management systems. Additionally, they provide guidance related to the entry of orders and reports of execution into the FESC database to ensure compliance as required by the Rule. For additional information on FESC reporting, please contact John Saxton, Director, NYSE Market Surveillance, at (212) Error Tracking The NYSE Alternext error and erroneous reports rules (NYSE Alternext Rules 134 and 411(a), respectively) add to and differ from the old AMEX rules. NYSE Alternext Rule 134 (Differences and Omissions - Cleared Transactions) and NYSE Rule 411(a) (Erroneous Reports) require or permit Floor brokers to use their error accounts in certain instances. NYSE Alternext Rule 134(d) requires an error account devoted solely to Floor-based trading where applicable. 2 Member organizations operating under the provisions of NYSE Alternext Rule 134 are required to create error records contemporaneous to the error. These records must be signed, time stamped and include supporting documentation. Such records shall include the audit trail data elements prescribed in Rule 132, as well as the nature and amount of the error, the means whereby the member resolved the error with the member or member organization that cleared the trade on the member's behalf, the aggregate amount of liability that the member has incurred and has outstanding, as of the time each such error trade entry is recorded, and such other information as may from time to time be required. A mandatory Error Account Detail Log must be used in meeting these requirements. Please see NYSE Information Memo for more details regarding the Error Account Detail Log. When a not held order remains unexecuted in whole or in part due to the order being lost or misplaced, or as a result of a system malfunction, applicable records and supporting documentation must be submitted prior to the opening of trading on the Floor on the next trade date following discovery of the error. NYSE Alternext Rule 411(a) relates to erroneous reports and applies irrespective of whether the error trade was the result of an automatic or an auction market execution. In certain instances, non-members who receive erroneous reports as to price do not have to accept a corrected report if all of the following conditions are met: (i) the price and size of the erroneous report are within the price and size range of the Consolidated Tape, (ii) the Floor broker reports the nature of the error to the non-member and whether it was favorable or not, and (iii) the member documents on a trade-by-trade basis, the name of the individual authorized to reject the erroneous report and whether it was in the non-member s favor. In addition, among other things, in the case of not held orders where the Floor broker executed in the wrong security, at the wrong price or on the wrong side of the market, but issued a report in the correct security, within the price instructions or on the correct side of the market, respectively, the NYSE Alternext Rule 411(a) allows the erroneous report to stand regardless of whether the customer to whom the report was issued was 2 Member organizations must have a separate error account if participating in so called blue line trading and/or certain pilot programs. For more details please see Information Memos and 07-72, as well as Information Memos and

4 a member or non-member. In this instance, the following conditions must be met: (i) the price and size of the erroneous report were within the range of prices and sizes in the specified security reported to the NYSE Alternext portion of the Consolidated Tape on the day in which the order was executed, (ii) the Floor broker reports the error to the customer, including whether the error was favorable or unfavorable to the customer, and (iii) the Floor broker documents on a trade-by-trade basis, the name of the individual authorized to accept the erroneous report for the customer, the amount of the error, and whether it was in the customer s favor. To better understand what constitutes an error and to ensure compliance with error reporting requirements, member organizations should thoroughly review the text of these rules in conjunction with the relevant previous NYSE Information Memos including, but not limited to, NYSE Information Memo For additional information, please contact Patricia Bergholc, Director, NYSE Market Surveillance, at (212) , or Michael Matejczyk, Director, NYSE Market Surveillance, at (212) DMM Equity Trading Reporting The NYSE Alternext Rule 104A.50 requires every Designated Market Maker ( DMM ) to keep a record of purchases and sales initiated on the Floor in the DMM s registered stocks for an account in which the DMM has an interest. Additionally, DMM firms must electronically submit their daily opening positions and their dealer purchases and sales in their specialty issues in an automated format. This data is often referred to as Form 81 information, because historically Form 81 was the form on which the data was submitted at the NYSE. Consistent with NYSE s current practice, NYSE Alternext US will record dealer activity at the end of each trading day in a file known as Position Minder MRO that is derived from the DMMs input to the Display Book. This report will be provided to the DMMs. The DMMs principal transactions, and other events that affect their positions captured by the Display Book, do not need to be reported separately to NYSE Alternext US. However, DMMs must continue to report their daily opening positions, and may make additions or replacements to the Position Minder MRO data, using the DMM Transaction Data Reporting System (formerly the Specialist Transaction Data Reporting System). To ensure compliance with the DMM Transaction Data Reporting System requirements, member organizations should thoroughly review the requirements of NYSE Alternext Rule 104A.50. For additional information on reporting, please contact Michael Fryer, Director, NYSE Market Surveillance, at (212) The technical documentation for the DMM Transaction Data Reporting System is available for review in the DMM Transaction Data Reporting System Technical Specifications version 1.5. For technical issues concerning reporting please forward all questions via to Scott Menkes, Managing Director in Regulatory Systems, at smenkes@nyx.com, Mark Salem, Senior Technical Director in Development, at msalem@nyx.com, or Neal Feder, Technical Director in Development, at nfeder@nyx.com. DMM Options and Single Stock Futures Trading Data Reporting NYSE Alternext Rule 105 permits DMMs to hedge their equity positions, using option contracts, against their equity positions within certain guidelines provided within Rule 105. NYSE Alternext Rule 104A.50 requires every DMM to keep a record of all options and single stock futures purchases and sales to hedge his designated stock positions as permitted by Rule 105. Additionally, DMMs must report such transaction in an automated format using a Form 81-O. DMMs are required to submit all orders and positions for options overlying their designated stocks regardless of whether orders are

5 executed. The Form 81-O submission deadline is currently three days after the reportable activity occurred (T+3). DMMs are required to submit their Form 81-O data to the NYSE on a weekly basis via the Electronic Filing Platform ( EFP ). To ensure compliance with the Form 81-O reporting requirements, member organizations should thoroughly review the requirements of NYSE Alternext Rule 104A.50 and NYSE Alternext Rule 105. For additional information on Form 81-O reporting, please contact Michael Fryer, Director, NYSE Market Surveillance, at (212) For technical assistance with Form 81-O reporting, please contact Scott Menkes, Managing Director in Regulatory Systems, at smenkes@nyx.com. Rule 410B Pursuant to NYSE Alternext Rule 410B, all transactions effected in NYSE Alternext listed securities by members and member organizations which are not reported to the Consolidated Tape must be electronically reported to NYSE Alternext. This includes transactions for a member or member organization's own account or for their customer accounts. NYSE Alternext securities will be 410B reportable and will follow the same procedures as NYSE listed securities. Applicable transactions are required to be reported through the NYSE Electronic Filing Platform ( EFP ) application, which may be accessed by computer at the following website address: For additional information, please review Rule 410B and NYSE Information Memos and For additional information on technical issues regarding the EFP Rule 410B Data Entry application, please regsysops@nyx.com. For additional information on 410B reporting requirements please contact Aleksandra Radakovic, Managing Director, NYSE Market Surveillance, at (212) NYSE Alternext Form 121 and SS20 Reporting NYSE Alternext securities will be subject to NYSE Form SS20 and 121 reporting upon relocation, pursuant to NYSE Alternext Rules 440F and 440G, respectively. NYSE Alternext Rule 440F requires members and member organizations to report round-lot short sale transactions for public customers on Form SS20. Rule 440G requires members and member organizations to report round-lot transactions (purchases, long sales, and short sales) for members, allied members and member organizations on Form 121. Currently, pursuant to NYSE Alternext Rule 30, NYSE Alternext members and member organizations are required to file Amex Forms 1-S and 1-RA (which are similar, but not identical, to NYSE Forms SS20 and 121) through FINRA s Regulation Filing Application System. Amex Notice REG previously stated that, following the equities relocation to NYSE facilities on December 1, 2008, members would be required to report the transactions described above on NYSE Forms SS20 and 121, pursuant to NYSE Alternext Rules 440F and 440G, respectively. It has now been determined that existing NYSE Alternext members and member organizations should continue to file legacy Amex Forms 1-S and 1-RA, rather than NYSE Forms SS20 and 121, following the equities relocation. Members filing in the manner described above will be deemed in compliance with NYSE Alternext Rules 440F and 440G. For additional information regarding the filing of Amex Forms 1-S and 1-RA, please contact James Turnbull of FINRA at (212) For additional information on Form SS20 or Form 121, please contact Glen Garofalo of FINRA at (646) ,

6 Theresa Reynolds of FINRA at (646) , or Debra German of FINRA at (646) NYSE Alternext Daily Program Trading Report ( DPTR ) Reporting Currently, under NYSE Rule 132B, NYSE member organizations are subject to trade reporting obligations for program trading. NYSE Alternext member firms that are not currently NYSE member firms will not be subject to DPTR reporting obligations. NYSE Regulation expects to issue separate guidance in the form of an Information Memo regarding NYSE member firms DPTR reporting obligations following the relocation of NYSE Alternext. NYSE Crossing Session II Under NYSE Rule 907, the Off-Hours Trading Facility ("OHTF") consists of four sessions. NYSE Alternext listed securities will be executable in Crossing Session I, which permits the execution of single-stock, single-sided closing price orders and crosses of single-stock, closing price buy and sell orders. The availability of Crossing Session II for NYSE Alternext listed securities will be described at a later date. Crossing Session II currently allows NYSE members and member organizations to cross program trading orders in NYSE listed securities between 4:00 p.m. and 6:30 p.m. based on the aggregate price of the program. Matched buy and sell orders for a minimum of 15 NYSE listed stocks may be transmitted to the Exchange for execution in Crossing Session II. These orders are transmitted via the EFP detailing the total number of stocks, total number of shares and total dollar value. NYSE Alternext listed securities will not be executable on Crossing Sessions III and IV. For additional information on the OHTF please review Rule 907 and NYSE Information Memo For additional questions concerning Crossing Sessions please contact Aleksandra Radakovic, Managing Director, NYSE Market Surveillance, at (212) , or Michael Graham, Director, NYSE Market Surveillance, at (212) Electronic Blue Sheet ( EBS ) Reporting Under NYSE Alternext Rules 410A and , NYSE Alternext firms have a continuing obligation to make automated submissions of trading information including reports of their customer, employee, and proprietary trading data via the EBS System upon request. These requirements are comparable to existing Amex requirements under Amex Rule 153. In requiring these submissions, NYSE Alternext will be acting jointly with the other members of the Intermarket Surveillance Group. Securities executed on NYSE Alternext should be assigned an exchange code value of B which is the current AMEX code. For additional questions related to the EBS System, please refer to the NYSE Alternext Rules 410A and , NYSE Information Memos and or contact John Kroog, Director, NYSE Market Surveillance, at (212) , or Lisa Neuner, Director, NYSE Market Surveillance, at (212) For technical questions, please contact Venkata Sreeram of NYSE Regulatory Systems at or at vsreeram@nyx.com. Internal Investigation Reporting Requirements NYSE Alternext Rule requires members and member organizations to have procedures that are "reasonably designed" to identify proprietary, employee and employee-related trades "that may violate" federal securities laws and NYSE Alternext rules prohibiting insider trading and manipulative and deceptive devices. Additionally, member and member organizations are required to subject such trades in Alternext listed securities and related financial instruments to these procedures and to conduct internal investigations of the potentially violative trades that the firm has identified after

7 applying its procedures. NYSE Alternext Rule 351(e) requires members and member organizations to report NYSE Alternext Rule (b) "internal investigations" in quarterly filings. Although not every trade subjected to a firm inquiry or review will result in a reportable Rule (b) internal investigation, when a firm subjects a trade to a level of review sufficient to constitute a Rule (b) internal investigation, members and member organizations must, without exception, report in one or more Rule 351(e) filings every Rule (b) internal investigation that is commenced. The reporting requirement includes investigations which are commenced and completed within the same calendar quarter and result in no further action being taken must be reported in a Rule 351(e) filing. For additional information, please review NYSE Alternext Rules 342 and 351, as well as NYSE Information Memo The Quarterly Insider Trading Attestations are required to be delivered on a quarterly basis to the Financial Industry Regulatory Authority ( FINRA ). The appropriate department is Risk Oversight & Operational Regulation, which is located at 20 Broad Street, 23rd Floor, New York, NY For additional questions concerning Internal Investigation Reporting please contact Aleksandra Radakovic, Managing Director, NYSE Market Surveillance, at (212) , or Michael Graham, Director, NYSE Market Surveillance, at (212) For additional information about the form and the submission process please contact Debra German, Credit Regulation, FINRA at (646) Regulation NMS Rule 606 Reporting NYSE Alternext members and member organizations will continue to be subject to best execution obligations. Regulation NMS Rule 606 routing information requires, among other things, that broker-dealers make available a report on their routing of non-directed orders in covered securities. In addition, if requested by a customer, broker-dealers must disclose the venue to which the customer's orders were routed for execution and the execution time of the transactions that resulted from the orders. NYSE Alternext is a separate market center from NYSE and applicable reporting must accurately reflect the applicable marketplace. Member organizations will thus be required to segregate trades executed at different exchanges, including instances where firms route to the one destination and receive more than one exchange value on the executions. NYSE Alternext trades and quotes will be disseminated with the market center participant ID A in the consolidated market data streams, reflecting the fact that NYSE Alternext and NYSE will continue to be separate registered securities exchanges. Following new trading systems enhancements, the Common Customer Gateway ( CCG ) will automatically direct incoming order, cancel and cancel/replacement messages to the appropriate executing market destination ( N for NYSE and A for NYSE Alternext.) For this and other Regulation NMS-related requirements please see NYSE Information Memo For additional information please contact David De Gregorio, Chief Counsel, NYSE Market Surveillance, at (212) , or Peter Bon Viso, Senior Counsel, NYSE Market Surveillance at (212) For business questions relating to the Amex equities integration, please contact your NYSE Relationship Manager. For testing arrangements and/or other questions, please contact the Service Desk at or send an to support@nyx.com with NYSE Alternext in the subject line.

8 Regulation M and Rule 392 NYSE Alternext Rule 392 requires notification whenever a member or member organization acts as a lead underwriter of any offering of an NYSE Alternext-listed security (a Regulation M Notice). The data required to be submitted as well as the format to be used in providing the information are outlined in Rule The Rule also requires notification prior to the placing or transmitting of a stabilizing bid, any syndicate covering transaction, and the imposition of any penalty bid. Rule 392 provides a list of reporting criteria where applicable. In addition, Information Memo was recently issued to clarify NYSE Rule 392 and PIPE reporting requirements. For additional information on notification requirements for offerings, Rule 392, or the Regulation M Notice, please contact John Kroog, Director, NYSE Market Surveillance, at (212) , or Lisa Neuner, Director, NYSE Market Surveillance, at (212) Customer Trade Confirmations NYSE Alternext Rule 409(a) provides that, except with the permission of NYSE Alternext, members and member organizations must send customers statements of account showing security and money positions and entries at least quarterly to all accounts having an entry, money or security position during the preceding quarter. This rule assures that customers receive notice of such transactions, positions and balances on a regular basis. Firms are not required by the Rule to disclose the execution market on a client confirmation, however, any such disclosure must be accurate. As NYSE Alternext and NYSE are two distinct execution markets, NYSE Alternext and NYSE designations are not interchangeable and the appropriate market center must be noted. If executions for a single order occur on both exchanges, a mixed market designation may be used. 4 Please review Rule 409 and NYSE Information Memos and For additional, information please contact Gregory Taylor of FINRA at (646) or the FINRA Office of General Counsel at (202) Account Type Indicators Firms often associate Tag 47 with the now rescinded NYSE Rule 80A for purposes of identifying account types (e.g., P for principal, A for agency, I for individual, etc.) NYSE Alternext will use the same account type indicators as NYSE for equities. Currently, NYSE uses these same Tag 47 account type indicators for other forms of reporting and supports these values. However, member organizations must be alert to account type changes and will be responsible for using the appropriate NYSE Alternext account types. NYSE Alternext Members should verify they are using the sixteen valid values for Tag 47 available online at For technical type information, testing arrangements and/or questions please contact Connectivity@nyx.com. 3 4 Please note that all spaces in blank on the applicable form must be appropriately filled in at the time of filing. Any change to the information provided will necessitate an amended form. For more information please see NYSE Information Memo Under certain circumstances, members and member organizations may have relief from Rule 10b-10 for average price, multiple capacity trade confirmations. For additional, information please review the information on the SEC website by going to

9 Rule 98 NYSE Alternext is adopting a rule comparable to the recently approved new NYSE Rule The Rule requires reporting of information regarding material investment banking activities in which the member organization or approved person has been engaged (e.g., underwriting, tender offers, mergers, acquisitions, recapitalizations, etc.) and material research reports, recommendations, etc., pertaining to any security that has been allocated to the DMM unit. Alternext Rule 98 requires reporting of information about determinations regarding whether the DMM should cease acting as DMM in the event the DMM unit receives non-public information. Additionally, DMM units will be required to report any actual breaches, or internal investigations of possible breaches, of the information barriers required by the rule. In particular, a DMM unit would be required to conduct an internal investigation into any trading activity that may be a result of a breach of information barriers required by the anticipated new NYSE Alternext Rule 98. In addition, on a quarterly basis, a DMM unit would have to report in writing whether it has commenced such an internal investigation, the quarterly progress of any open investigations, what remedial measures, if any, were taken, and the completion of any internal investigation, including the methodology and results of such investigation, any internal disciplinary action taken, and any referral of the matter to NYSE Alternext, another SRO, or the SEC. For additional information on new Rule 98 reporting, please contact Sheldon Richter, Director, NYSE Market Surveillance, at (212) For additional information regarding other types of new Rule 98 reporting requirements please contact Sheila Rennert, Senior Counsel, NYSE Market Surveillance, at (212) , or Peter Bon Viso, Senior Counsel, NYSE Market Surveillance, at (212) Rule NYSE Alternext is also adopting a rule comparable to recently amended NYSE Rule , which would apply only to the DMM and his DMM unit and not to his member organization or approved persons. The recently amended NYSE Rule requires that the DMM unit report the beneficial ownership of more than 5% of an equity security that is allocated to it. The DMM unit would be required to update such reports if its beneficial ownership exceeds 10% or falls below 5%. In addition, the DMM unit would be prohibited from acquiring, directly or indirectly, more than 25% of the outstanding shares in any security allocated to the specialist unit. These requirements would apply to DMM units operating under new Rule 98, as well as to DMM member organizations that continue to operate under Rule 98 Former. Please contact Sheldon Richter, Director, NYSE Market Surveillance, at (212) , or Lisa Neuner, Director, NYSE Market Surveillance, at (212) , for additional information and reporting procedures. Order Tracking System ( OTS ) Rules 132 A, 132B, and 132 C NYSE Alternext members will be subject to OTS reporting for NYSE Alternext-listed securities under NYSE Alternext Rules 132A, 132B and 132C. There is a grace period extending until February 1, 2009, at which time firms must be compliant with such OTS reporting requirements. Firms are being provided with a grace period with the understanding that in the interim period NYSE Alternext order information and trade 5 Rule 98 Former, which is comparable to current Amex Rule 193, remains as an NYSE rule, but is not available for new entrants to become a DMM unit at the NYSE. Further information will be provided as to the applicability of new Rule 98 and/or Rule 98 Former as they pertain to NYSE Alternext members.

10 details must be in a readily accessible alternative format, such as order tickets. These NYSE Alternext securities will be included in the daily list of applicable securities for OTS reporting. NYSE Alternext member organizations handling orders for NYSE Alternext listed equities must comply with the relevant order entry requirements of NYSE Alternext rules, including Rule 123 and Rules 132A (Synchronization of Member Business Clocks), 132B (Order Tracking Requirements) and 132C (Transmission of Order Tracking Information). Member organizations must also certify that their systems meet those applicable requirements. Within the OTS system, all NYSE Alternext upstairs firms must capture and record an order s history and relevant data beginning at time of receipt as defined by the Rule 132B. The data elements listed in Rule 132B are required to be reported upon request. Upon request, member organizations must be able to provide a systemic order audit trail from member origination to the point of delivery for execution, modification or cancellation. Member organizations must label orders transmitted to NYSE Alternext for execution with the appropriate recipient type of A to represent NYSE Alternext. For further clarification, Rule 132B sets forth specific requirements for the tracking of an order between different member organization departments. To ensure compliance with the OTS requirements, member organizations should thoroughly review the text of NYSE Alternext Rule 123 and Rule 132A, 132B, and 132C in conjunction with the relevant previous NYSE Information Memos including, but not limited to, NYSE Information Memo For additional information on OTS obligations please contact Alexander Razdolski, Director, NYSE Market Surveillance, at (212) Member organizations can deliver requested OTS files through the EFP Portal Authorized Applications Panel that can be accessed via the following link: A username and password will be required to access the system and each firm s authorized user will be required to authenticate their login. The technical specifications can be found at Applicable members and member firms must be OTS compliant before February 1, This includes having adequate written supervisory procedures regarding OTS. Staff Contacts If you have any questions pertaining to this Notice or other NYSE Alternext reporting requirements, please contact John Saxton, Director, NYSE Market Surveillance, at (212) , or Andrew White, Director, NYSE Market Surveillance, at (212) John F. Malitzis Executive Vice President Market Surveillance

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