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General 5 Discipline
Section 1. Investigations and Sanctions

Series 8000 of The Nasdaq Stock Market LLC Rules, as such rules may be in effect from time to time (the "Nasdaq Rule 8000 Series"), are hereby incorporated by reference into this General 5, Section 1 of the Nasdaq BX, Inc. ("BX") Rules, and are thus BX Rules and thereby applicable to BX members, associated persons, and other persons subject to the Exchange's jurisdiction. BX members, associated persons, and other persons subject to the Exchange's jurisdiction shall comply with the Nasdaq Rule 8000 Series as though such rules were fully set forth herein.

All terms (whether or not defined), including any variations thereof, contained in the Nasdaq Rule 8000 Series shall be read to refer to the BX-related meaning of such term. The terms "Exchange" or "Nasdaq" shall be read to refer to BX; the terms "Rule," "Rules of Nasdaq," or "Nasdaq Rules" shall be read to refer to the BX Rules or BX Equity Rules; the terms "Board" or "Nasdaq Board" shall be read to refer to BX's Board of Directors; the terms "Member," "member firm," or "associated person" shall be read to refer to a BX Member, BX member firm, or BX associated person; the terms "Nasdaq Regulation" or "Nasdaq Regulation Department" shall be read to refer to the BX Regulation Department; the term "Nasdaq Options Market" shall be read to refer to the BX Options Market; and the term "Chief Regulatory Officer" shall be read to refer to BX's Chief Regulatory Officer.

Amended May 15, 2020 (SR-BX-2020-009), operative May 1, 2020.

Section 2. Code of Procedure

Series 9000 of The Nasdaq Stock Market LLC Rules, as such rules may be in effect from time to time (the "Nasdaq Rule 9000 Series"), are hereby incorporated by reference into this General 5, Section 2 of the Nasdaq BX, Inc. ("BX") Rules, and are thus BX Rules and thereby applicable to BX members, associated persons, and other persons subject to the Exchange's jurisdiction. BX members, associated persons, and other persons subject to the Exchange's jurisdiction shall comply with the Nasdaq Rule 9000 Series as though such rules were fully set forth herein.

All terms (whether or not defined), including any variations thereof, contained in the Nasdaq Rule 9000 Series shall be read to refer to the BX-related meaning of such term. The terms "Exchange" or "Nasdaq" shall be read to refer to BX; the terms "Rule," "Rules of Nasdaq," or "Nasdaq Rules" shall be read to refer to the BX Rules or BX Equity Rules; with respect to Rules 9521(b)(2) and 9521(b)(3) the term "Nasdaq By-Laws" shall be read as a reference to BX's Rules; the terms "Board" or "Nasdaq Board" shall be read to refer to BX's Board of Directors; the terms "Member," "member firm," or "associated person" shall be read to refer to a BX Member, BX member firm, or BX associated person; the terms "Nasdaq Regulation" or "Nasdaq Regulation Department" shall be read to refer to the BX Regulation Department; the term"Nasdaq Options Market" shall be read to refer to the BX Options Market; and the term "Chief Regulatory Officer" shall be read to refer to BX's Chief Regulatory Officer.

Moreover, references in the Nasdaq Rule 9000 Series to Equity 5, Sections 4 and 5 shall be read, respectively, to refer to BX Rules 7440A and 7450A.

Additionally,

1. Pursuant to Nasdaq Rule 9231(b)(1)(C), the Chief Hearing Officer may also select as a Panelist a person who previously served as a Governor of the Exchange prior to its acquisition by Nasdaq, Inc., but does not serve currently in that position.

2. Pursuant to Nasdaq Rule 9231(b)(1)(D), a person who is a member of FINRA’s Market Regulation Committee is among the FINRA Panelists approved by the Exchange Board at least annually that the Chief Hearing Officer may also select as a Panelist.

3. Rules 9552(f), 9553(g), 9554(g), 9555(g), 9556(g), and 9558(g) in the Nasdaq Rule 9000 Series shall be read to allow the filing of a request for termination of a suspension (or a request for termination of the limitation, prohibition or suspension with respect to Rules 9555(g) and 9558(g)) to be made with either the head of the Exchange or FINRA department or office that issued the notice or that is handling the matter on behalf of the issuing department or office.

Amended May 15, 2020 (SR-BX-2020-009), operative May 1, 2020

 
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