The purpose of this Notice is to advise members and member organizations that, pursuant to NYSE Alternext US Rule 50, the Exchange will be conducting the mandatory annual regulatory training program for all floor members over the next few weeks.
This mandatory program will consist of one 90-minute session delivered via a classroom-style presentation, not an online course, and there will be no examination. The program will be organized and grouped by floor member function and therefore separate sessions will be held for specialists, registered traders and floor brokers. Separate Trader Notices will be published announcing the upcoming dates and times for these sessions.
All specialists, registered traders, and brokers must attend a scheduled session to maintain registration in each floor member function. However, those equities-only members transferring to the NYSE Alternext floor by the equities relocation date who have already completed the NYSE Alternext Regulatory Education Program (AREP) have satisfied their 2008 mandatory annual regulatory training requirement and do NOT need to attend the upcoming floor member sessions.
Attendance at these upcoming sessions is mandatory and every attempt should be made to attend your scheduled session. Failure to attend your scheduled or re-scheduled session may result in disciplinary action.
Please direct any questions about this Notice to Rick Farber at 212-306-5310 or to Ellen O'Rourke at 212-306-1865.