Information Memo - FINRA - Rules and Regulations

details must be in a readily accessible alternative format, such as order tickets. TheseNYSE Alternext securities will be included in the daily list of applicable securities forOTS reporting.NYSE Alternext member organizations handling orders for NYSE Alternext listedequities must comply with the relevant order entry requirements of NYSE Alternextrules, including Rule 123 and Rules 132A (Synchronization of Member BusinessClocks), 132B (Order Tracking Requirements) and 132C (Transmission of OrderTracking Information). Member organizations must also certify that their systems meetthose applicable requirements. Within the OTS system, all NYSE Alternext upstairsfirms must capture and record an order’s history and relevant data beginning at time ofreceipt as defined by the Rule 132B. The data elements listed in Rule 132B arerequired to be reported upon request.Upon request, member organizations must be able to provide a systemic order audittrail from member origination to the point of delivery for execution, modification orcancellation. Member organizations must label orders transmitted to NYSE Alternext forexecution with the appropriate recipient type of “A” to represent NYSE Alternext. Forfurther clarification, Rule 132B sets forth specific requirements for the tracking of anorder between different member organization departments. To ensure compliance withthe OTS requirements, member organizations should thoroughly review the text ofNYSE Alternext Rule 123 and Rule 132A, 132B, and 132C in conjunction with therelevant previous NYSE Information Memos including, but not limited to, NYSEInformation Memo 04-29. For additional information on OTS obligations please contactAlexander Razdolski, Director, NYSE Market Surveillance, at (212) 656-4435.Member organizations can deliver requested OTS files through the EFP PortalAuthorized Applications Panel that can be accessed via the following link:https://efp.nyse.com/efp/efp_login.html. A username and password will be required toaccess the system and each firm’s authorized user will be required to authenticate theirlogin. The technical specifications can be found at http://www.nyse.com/techspecs.Applicable members and member firms must be OTS compliant before February1, 2009. This includes having adequate written supervisory procedures regardingOTS.Staff ContactsIf you have any questions pertaining to this Notice or other NYSE Alternext reportingrequirements, please contact John Saxton, Director, NYSE Market Surveillance, at(212) 656-2324, or Andrew White, Director, NYSE Market Surveillance, at (212) 656-4498.___________________________John F. MalitzisExecutive Vice PresidentMarket Surveillance