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Home > > Phlx General 3
General 3 Membership and Access

Series 1000 of the Rules of The Nasdaq Stock Market, LLC (“Nasdaq”), as such rules may be in effect from time to time (the “Nasdaq Rule 1000 Series”), are hereby incorporated by reference into this Nasdaq Phlx General 3 (other than Nasdaq Rule 1031), and are thus Nasdaq Phlx Rules and thereby applicable to Nasdaq Phlx members, member organizations, associated persons, and other persons subject to the Exchange’s jurisdiction. Nasdaq Phlx members, member organizations, associated persons, and other persons subject to the Exchange’s jurisdiction shall comply with the Nasdaq Rule 1000 Series as though such rules were fully set forth herein. All defined terms, including any variations thereof, contained in the Nasdaq Rule 1000 Series shall be read to refer to the Nasdaq Phlx-related meaning of such term. The defined terms “Exchange” or “Nasdaq” shall be read to refer to the Nasdaq Phlx Exchange; “Rule” or “Exchange Rule” shall be read to refer to the Exchange Rules; the defined term “Applicant” in the Nasdaq Rule 1000 Series shall be read to refer to an Applicant to the Nasdaq Phlx Exchange; the defined terms “Board” or “Exchange Board” in the Nasdaq Rule 1000 Series shall be read to refer to the Nasdaq Phlx Board of Directors; the defined term “Director” in the Nasdaq Rule 1000 Series shall be read to refer to a Director of the Board of the Nasdaq Phlx Exchange; the defined term “Exchange Review Council” in the Nasdaq Rule 1000 Series shall be read to refer to the Nasdaq Phlx Exchange Review Council; the defined term “Subcommittee” in the Nasdaq Rule 1000 Series shall be read to refer to a Subcommittee of the Nasdaq Phlx Exchange Review Council; the defined term “Interested Staff” in the Nasdaq Rule 1000 Series shall be read to refer to Interested Staff of Nasdaq Phlx; the defined term “Member” in the Nasdaq Rule 1000 Series shall be read to refer to a Nasdaq Phlx member or member organization, a Lead Market Maker, or a Market Maker; the defined term “Associated Person” shall be read to refer to a Nasdaq Phlx Associated Person or Person Associated with a member organization; the defined terms “Exchange Membership Department” or “Membership Department” shall be read to refer to the Nasdaq Phlx Membership Department; and the defined term “Exchange Regulation Department” shall be read to refer to the Nasdaq Phlx Regulation Department.

Additionally, cross references in the Nasdaq Rule 1000 Series to “General 1 and Equity 1” shall be read as references to Nasdaq Phlx General 1, Section 1; cross references in the Nasdaq Rule 1000 Series to “General 9, Section 20” shall be read as references to Phlx General 9, Section 20 and Phlx Supplementary Material .01 of Options 10, Section 5; cross references in the Nasdaq Rule 1000 Series to “General 9, Section 37” shall be read as references to Nasdaq Phlx General 9, Section 37; and cross references to the “General 4, Rule 1200 Series” shall be read as references to Nasdaq Phlx General 4, Section 1.

In order to obtain and maintain the status of a Phlx member organization, an organization shall be duly qualified by a permit holder who is primarily affiliated with such organization for purposes of nominating as provided in the By-Laws.

Phlx members and member organizations may comply with General 3, Rule 1002(c) and General 3, Rule 1014(b)(3) if Phlx is the member’s or member organization’s designated examining authority.

Adopted November 17, 2021 (SR-Phlx-2021-69); amended Jun. 27, 2022 (SR-Phlx-2022-28), operative Aug. 10, 2022.

 
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