Fillable NYSE Arca Equities Retail Order Tier Form A (The New York Stock Exchange)

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NYSE Arca Equities Retail Order Tier Form A (The New York Stock Exchange)

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March 2018 1
NYSE Arca Equities Retail Order Tier Form
Instructions: This form is to be completed by NYSE Arca, Inc. (the “Exchange”) ETP Holders who would like to participate in the Retail Order
Tier.
A “Retail Order” is an agency order or a riskless principal order that meets the criteria of FINRA Rule 5320.03 that originates
from a natural person and is submitted to the Exchange by an ETP Holder, provided that no change is made to the terms of the
order with respect to price or side of market and the order does not originate from a trading algorithm or any other computerized
methodology. The term “natural persons” refers to the origination of the order from a request made by a human as opposed to
the generation of an order by a computer algorithm. An order from a “natural person” can include orders on behalf of accounts
that are held in a corporate legal form, such as an Individual Retirement Account, Corporation, or a Limited Liability Corporation
that has been established for the benefit of an individual or group of related family members, provided that the order is
submitted by an individual.
Please note: If an NYSE Arca ETP Holder uses an algorithm to determine to send an existing Retail Order into the NYSE Arca
Equities Retail Order Tier program, such order is eligible for the Retail Order Tier and is not deemed to have originated from a
trading algorithm strictly as a result of the brokerage firm’s algorithm, provided that the NYSE Arca ETP Holder assures that the
Retail Order meets the underlying requirements, including that the routing algorithm does not change the terms of the order with
respect to price or side of the market. Additionally, the Retail Order provision preventing changes to the terms of the order (e.g.
price or side) is not meant to prevent an NYSE Arca ETP Holder from ensuring a better execution experience for the retail
customer, such as by adding a limit to a Retail Order.
An NYSE Arca ETP Holder may submit Retail Orders in a riskless principal capacity, as well as an agency capacity, provided
that the member (1) submits a report, contemporaneously with the execution of the facilitated order, identifying the trade as
riskless principal to FINRA (or another self-regulatory organization if not required under FINRA rules); and (2) has written
policies and procedures to ensure that riskless principal transactions for which the member is relying on this exception comply
with applicable FINRA rules.
1. Customer Information
Name of NYSE Arca ETP
Holder
Web CRD Number
Business Contact Name
Business Contact Phone
Business Contact E-Mail
2. Business and Technology Questions
As an NYSE Arca ETP Member Organization, do you currently have connectivity to the
Exchange?
Yes No
Is this connection utilized for order routing, receiving market data or both?
Order Routing
Receiving Market Data
Both
ETP Holder may designate Retail Orders by entering the value “RET” in Fix Tag 57, or the Binary field: SenderSubID
If you are routing retail order flow on behalf of one or more broker-dealer customers, your firm will be required to execute a
separate document with this firm or firms. We have a Broker Dealer Customer Form that we can provide for your
convenience.
March 2018 2
3. Retail Order Tier Supervisory Requirements
By executing this Application, the Applicant attests that substantially all orders submitted to NYSE Arca by the Applicant via
Retail Order Ports or tagged as “Retail Orders” in the order entry message are Retail Orders and would meet the
qualifications for such orders under the Retail Order Tier. An ETP Holder would be required to designate its Retail Order
Ports, including adding new Retail Order Ports or removing existing Retail Order Ports that would no longer be used to
submit Retail Orders, no later than the fifth trading day of the month in which the desired change is to become effective.
Applicant further attests that it has in place Written Supervisory Procedures (WSPs). Such WSPs require Applicant to:
(i) exercise due diligence before entering a Retail Order to assure that entry as a Retail Order is in compliance with the
requirements specified by the Exchange, including that the Applicant maintain adequate substantiation that substantially all
orders sent to the Exchange as Retail Orders meet the definition and that those orders not meeting the definition are
agency orders that cannot be segregated from Retail Orders due to system limitations and are de minimis in terms of the
overall number of Retail Orders submitted and (ii) monitor whether orders entered as Retail Orders meet the applicable
requirements.
In addition, if Applicant represents Retail Orders from another broker-dealer customer, Applicant’s WSPs must be
reasonably designed to assure that the orders it receives from such broker-dealer customer that it designates as Retail
Orders meet the definition of a Retail Order.
The Applicant must (i) obtain an annual written representation, in a form acceptable to the Exchange, from each broker-
dealer customer that sends it orders to be designated as Retail Orders that entry of such orders as Retail Orders will be in
compliance with the requirements specified by the Exchange; and (ii) monitor whether its broker-dealer customer’s Retail
Order flow meets the applicable requirements.
Please return to Client Relationship Services at crs@nyse.com.
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NYSE Arca Equities Retail Order Tier Form A (The New York Stock Exchange)

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Completed 26 March 2021

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