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Regulatory Memo NYSE American Options RM2206 NYSE Area Options RM2208September 21, 2022 TO:ALL NYSE AMERICAN LLC ATP HOLDERS, NYSE AREA, INC. OTP HOLDERS AND OTP FIRMS (collectively, Members)FROM:NYSE

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How to fill out off floor position transfer-reg

01

Fill out the personal information section with your name, employee ID, and contact details.

02

Specify the details of your current off-floor position, including the department, job title, and supervisor.

03

Provide the details of the new off-floor position you are transferring to, including the department, job title, and supervisor.

04

Sign and date the form to certify that the information provided is accurate.

Who needs off floor position transfer-reg?

01

Employees who are transferring from one off-floor position to another within the same organization.

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What is off floor position transfer-reg?

Off floor position transfer-reg refers to transferring positions between accounts that are not on the trading floor.

Who is required to file off floor position transfer-reg?

Traders, brokers, and firms are required to file off floor position transfer-reg.

How to fill out off floor position transfer-reg?

Off floor position transfer-reg can be filled out electronically through the designated regulatory platform.

What is the purpose of off floor position transfer-reg?

The purpose of off floor position transfer-reg is to ensure transparency and compliance with regulatory requirements.

What information must be reported on off floor position transfer-reg?

Off floor position transfer-reg must include details of the accounts involved, the positions being transferred, and the reasons for the transfer.

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