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Frequently Asked Questions
  My broker dealer is considering entering into an office sharing arrangement, what must we do in order to comply with exchange rules?
Identification Number 1714
Members of PHLX (see Rule General 9, Section 57) and/or ISE (see Rule Options 9, Section 3) are required to disclose office sharing arrangements to the Membership Department for consideration.  The following information should be submitted to  name and description of businesses being conducted; blueprints of space identifying barriers and common areas; what, if any, communication lines are shared; and information barrier procedures specific to shared space.  Upon receipt, the Department will review to determine whether the arrangement is acceptable provided that it does not appear to mislead the public.
Publication Date*: 4/28/2021 Mailto Link Identification Number: 1714
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