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This document details the proposed rule change submitted by the New York Stock Exchange, including the rules and requirements for customer portfolio margining and cross-margining, and the necessary

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How to fill out notice of filing of

How to fill out Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto by the New York Stock Exchange, Inc. Relating to Customer Portfolio and Cross-Margining Requirements

01

Obtain the Notice of Filing document from the official New York Stock Exchange (NYSE) website.

02

Review the document to understand the proposed rule changes and amendments.

03

Complete the necessary sections outlining the proposed changes as indicated in the form.

04

Provide any additional information or supporting documentation required by the NYSE.

05

Ensure that all relevant parties review the document for accuracy and completeness.

06

Submit the completed Notice of Filing to the NYSE through the specified submission method.

Who needs Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto by the New York Stock Exchange, Inc. Relating to Customer Portfolio and Cross-Margining Requirements?

01

Members of the New York Stock Exchange who are affected by the proposed changes.

02

Registered broker-dealers who engage in customer portfolio activities.

03

Investors and stakeholders interested in understanding the implications of the rule change.

04

Regulatory bodies that oversee compliance with market regulations.

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What is Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto by the New York Stock Exchange, Inc. Relating to Customer Portfolio and Cross-Margining Requirements?

The Notice of Filing of Proposed Rule Change and Amendments Nos. 1, 2, and 3 is a formal communication submitted by the New York Stock Exchange (NYSE) to the Securities and Exchange Commission (SEC) proposing changes to the rules governing customer portfolio and cross-margining requirements, which may impact how margin requirements are calculated and managed.

Who is required to file Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto by the New York Stock Exchange, Inc. Relating to Customer Portfolio and Cross-Margining Requirements?

The New York Stock Exchange, Inc. is required to file the Notice of Filing of Proposed Rule Change and its amendments, as it is the regulatory authority overseeing the implementation and modification of trading rules pertaining to member organizations and market participants.

How to fill out Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto by the New York Stock Exchange, Inc. Relating to Customer Portfolio and Cross-Margining Requirements?

To fill out the Notice, applicants should provide comprehensive details regarding the proposed rule changes, including the text of the rules being amended, the rationale for the changes, data supporting the changes, and any potential impact on market participants. Specific forms or templates may be provided by the SEC for such filings.

What is the purpose of Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto by the New York Stock Exchange, Inc. Relating to Customer Portfolio and Cross-Margining Requirements?

The purpose of this Notice is to inform the SEC and the public of proposed modifications to trading rules which aim to enhance the efficiency, security, and clarity of margining requirements for customer portfolios and cross-margining, thereby promoting fair and orderly markets.

What information must be reported on Notice of Filing of Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto by the New York Stock Exchange, Inc. Relating to Customer Portfolio and Cross-Margining Requirements?

The information reported must include the specific rule language changes, explanations for the proposed amendments, an assessment of the proposed changes' effects on market integrity and participant behavior, and any feedback or commentary received during the public comment period.

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