Nasdaq Rulebook Search Banner
BSECC  | BX  | GEMX  | ISE  | MRX  | Nasdaq  | PHLX  | SCCP   
Print   Copy Link
Search in
Print | Copy Link |
Home > > Phlx General 4
General 4 Registration Requirements
Section 1. Registration, Qualification and Continuing Education.

The rules contained in The Nasdaq Stock Market LLC General 4, Section 1 as such rules may be in effect from time to time (the "General 4, Section 1 Rules"), are hereby incorporated by reference into this Nasdaq Phlx LLC General 4, Section 1, and are thus Nasdaq Phlx Rules and thereby applicable to Nasdaq Phlx Member Organizations. Nasdaq Phlx Member Organizations shall comply with the General 4, Section 1 Rules as though such rules were fully set forth herein.

All defined terms, including any variations thereof, contained in the General 4, Section 1 Rules shall be read to refer to the Nasdaq Phlx related meaning of such term. However, for the purpose of this General 4 title, all references in the General 4, Section 1 Rules to a "member" shall be deemed to be references to a "member organization." Similarly, for the purpose of this General 4 title, the term "registered persons," as described in General 4, Rule 1210.07, shall be read to refer to "covered persons" as defined in General 4, Rule 1240(a)(5).

Adopted April 30, 2019 (19-18), operative June 7, 2019; amended January 22, 2021 (SR-Phlx-2021-04).

App Store       Google Play       Listing Center Content RSS Feed
The Nasdaq Stock Market, Nasdaq, The Nasdaq Global Select Market, The Nasdaq Global Market, The Nasdaq Capital Market, ExACT and Exchange Analysis and Compliance Tracking system are trademarks of Nasdaq, Inc.
FINRA® and Financial Industry Regulatory Authority, Inc.® are registered trademarks of Financial Industry Regulatory Authority, Inc.