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Other Rule Filings Incorporated by Reference

New York Stock Exchange LLC ("NYSE"), NYSE American LLC ("NYSE American"), NYSE Arca, Inc. ("NYSE Arca"), NYSE National, Inc. (“NYSE National”) and NYSE Chicago, Inc. ("NYSE Chicago") (collectively, the "Exchanges") have incorporated certain rules by reference from the rulebook of the Financial Industry Regulatory Authority, Inc. (“FINRA”). As such, the Exchanges will periodically provide updates where applicable when there are new proposals or approvals to amend these incorporated rules. Rule filings are not effective until approved by the Securities and Exchange Commission ("SEC"), with the exception of certain types of rule filings that may become effective upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder. The approval orders and published notices for immediately effective filings are provided where available herein.

FINRA Rule Filings to Amend FINRA Code of Arbitration

FINRA Rule Filings to Amend FINRA Rule 2111 – Suitability

FINRA Rule Filings to Amend FINRA Rule 2210 – Communications with the Public

FINRA Rule Filings to Amend FINRA Rule 3310 – Anti-Money Laundering Compliance Program

FINRA Rule Filings to Amend FINRA Rule 5310 – Best Execution and Interpositioning

FINRA Rule Filings to Amend FINRA Rule 7440 – Recording of Order Information

FINRA Rule Filings to Amend FINRA Rule 7450 – Order Data Transmission Requirements