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Rulebook - Nasdaq PHLX
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General 4 Regulation
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, Section 1.1210.07, shall be read to refer to "covered persons" as defined in General 4, Section 1.1240(a)(5)

Adopted April 30, 2019 (19-18), operative June 7, 2019.

 
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