FINRA Rules Incorporated by Reference

MEMX has incorporated certain FINRA rules by reference. As such, MEMX will periodically provide updates where applicable when there are new proposals or approvals to amend these incorporated rules by FINRA. FINRA 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 take effect 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. Below are relevant updates.

FINRA Rule 2210 (MEMX Rule 3.5)

No pending or recently effective changes.

FINRA Rule 2268 (MEMX Rule 9.3)

No pending or recently effective changes.

FINRA Rule 5270 (MEMX Rule 12.14(a))

No pending or recently effective changes.

FINRA Code of Arbitration – FINRA Series 12000 and 13000 (MEMX Rule 9.1)

Description: Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees

Available at: https://www.finra.org/rules-guidance/rule-filings/sr-finra-2020-035

Description: Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster to Decide Certain Expungement Requests

Available at: https://www.finra.org/rules-guidance/rule-filings/sr-finra-2020-030

FINRA Code of Mediation – FINRA Series 14000 (MEMX Rule 9.7)

No pending or recently effective changes.