{ "node": "us-cm-kg", "door": "https://mcp.us-cm-kg.ai", "market": "us", "jurisdiction_namespace": "us-eco-10060", "chapter": "us.chapter.v16", "source": "Book of Markets mirror (allooloocmkgapex/book), read at request time", "kind": "book-section", "family": "AMP", "version": "us.amp.v3", "supersedes": "us.amp.v2", "book_path": "us/sections/us.amp.v3.json", "book_sha256": "sha256:38259983bc1a8c7708bcab3a4a4a2b56ffbc76eb4c09d8928e544b7bbb35d4ca", "section": { "section_id": "book:us:amp", "family": "AMP", "schema": "SM-ECO-10060 canonical text v1.0 (2026-10-30) · chapter schema v0.1 (unratified) · Appendix D", "schema_version": "0.1", "version": "us.amp.v3", "supersedes": "us.amp.v2", "market": "us", "node": "us-cm-kg", "produced_at": "2026-11-01T00:30:57Z", "observed": { "earliest_read": null, "latest_read": null }, "fields": [ { "name": "venue_mic", "value": "XNYS", "read_at": "2026-11-01T00:26:09Z", "pages_checked": [ "https://www.iso20022.org/sites/default/files/ISO10383_MIC/ISO10383_MIC.csv" ], "source_url": "https://www.iso20022.org/sites/default/files/ISO10383_MIC/ISO10383_MIC.csv", "source_date": "20250428" }, { "name": "venue_identity", "value": { "name": "New York Stock Exchange LLC" }, "read_at": "2026-11-01T00:26:15Z", "pages_checked": [ "https://www.sec.gov/file/exhibit-5-5809", "https://www.nyse.com", "https://www.sec.gov/edgar/browse/?CIK=876661", "https://apiverve.com/marketplace/stockexchange", "https://www.federalregister.gov/documents/2025/07/30/2025-14358/self-regulatory-organizations-new-york-stock-exchange-llc-nyse-american-llc-nyse-arca-inc-nyse-texas", "https://www.federalregister.gov/documents/2026/02/10/2026-02583/self-regulatory-organizations-new-york-stock-exchange-llc-notice-of-filing-and-immediate", "https://www.sec.gov/enforcement-litigation/administrative-proceedings/34-41574", "https://www.sec.gov/file/34-98048-ex5", "https://www.sec.gov/rules/sro/nyse/34-53073ex5a.pdf", "https://www.federalregister.gov/documents/2026/09/14/2026-18652/self-regulatory-organizations-new-york-stock-exchange-llc-notice-of-filing-and-immediate" ], "source_url": "https://www.sec.gov/file/exhibit-5-5809", "source_date": "July 14, 2005" }, { "name": "venue_scope", "value": { "rule_applicability": "The Exchange’s Rules shall apply to all member organizations and persons associated with a member organization.", "regulatory_services": "The Exchange and the Financial Industry Regulatory Authority, Inc. (\"FINRA\") are parties to a Regulatory Services Agreement" }, "read_at": "2026-11-01T00:26:15Z", "pages_checked": [ "https://www.sec.gov/file/34-98048-ex5", "https://www.nyse.com", "https://www.sec.gov/edgar/browse/?CIK=876661", "https://apiverve.com/marketplace/stockexchange", "https://www.federalregister.gov/documents/2025/07/30/2025-14358/self-regulatory-organizations-new-york-stock-exchange-llc-nyse-american-llc-nyse-arca-inc-nyse-texas", "https://www.federalregister.gov/documents/2026/02/10/2026-02583/self-regulatory-organizations-new-york-stock-exchange-llc-notice-of-filing-and-immediate", "https://www.sec.gov/file/exhibit-5-5809", "https://www.sec.gov/enforcement-litigation/administrative-proceedings/34-41574", "https://www.sec.gov/rules/sro/nyse/34-53073ex5a.pdf", "https://www.federalregister.gov/documents/2026/09/14/2026-18652/self-regulatory-organizations-new-york-stock-exchange-llc-notice-of-filing-and-immediate" ], "source_url": "https://www.sec.gov/file/34-98048-ex5", "source_date": "2023-08-03" }, { "name": "rules_page", "value": "not_found", "read_at": "2026-11-01T00:30:48Z", "pages_checked": [ "https://www.nyse.com", "https://www.sec.gov/edgar/browse/?CIK=876661", "https://apiverve.com/marketplace/stockexchange", "https://www.federalregister.gov/documents/2025/07/30/2025-14358/self-regulatory-organizations-new-york-stock-exchange-llc-nyse-american-llc-nyse-arca-inc-nyse-texas", "https://www.federalregister.gov/documents/2026/02/10/2026-02583/self-regulatory-organizations-new-york-stock-exchange-llc-notice-of-filing-and-immediate", "https://www.sec.gov/file/exhibit-5-5809", "https://www.sec.gov/enforcement-litigation/administrative-proceedings/34-41574", "https://www.sec.gov/file/34-98048-ex5", "https://www.sec.gov/rules/sro/nyse/34-53073ex5a.pdf", "https://www.federalregister.gov/documents/2026/09/14/2026-18652/self-regulatory-organizations-new-york-stock-exchange-llc-notice-of-filing-and-immediate" ] }, { "name": "halts", "value": "not_found", "read_at": "2026-11-01T00:30:48Z", "pages_checked": [ "https://www.nyse.com", "https://www.sec.gov/edgar/browse/?CIK=876661", "https://apiverve.com/marketplace/stockexchange", "https://www.federalregister.gov/documents/2025/07/30/2025-14358/self-regulatory-organizations-new-york-stock-exchange-llc-nyse-american-llc-nyse-arca-inc-nyse-texas", "https://www.federalregister.gov/documents/2026/02/10/2026-02583/self-regulatory-organizations-new-york-stock-exchange-llc-notice-of-filing-and-immediate", "https://www.sec.gov/file/exhibit-5-5809", "https://www.sec.gov/enforcement-litigation/administrative-proceedings/34-41574", "https://www.sec.gov/file/34-98048-ex5", "https://www.sec.gov/rules/sro/nyse/34-53073ex5a.pdf", "https://www.federalregister.gov/documents/2026/09/14/2026-18652/self-regulatory-organizations-new-york-stock-exchange-llc-notice-of-filing-and-immediate" ] }, { "name": "calendar", "value": "not_found", "read_at": "2026-11-01T00:30:48Z", "pages_checked": [ "https://www.nyse.com", "https://www.sec.gov/edgar/browse/?CIK=876661", "https://apiverve.com/marketplace/stockexchange", "https://www.federalregister.gov/documents/2025/07/30/2025-14358/self-regulatory-organizations-new-york-stock-exchange-llc-nyse-american-llc-nyse-arca-inc-nyse-texas", "https://www.federalregister.gov/documents/2026/02/10/2026-02583/self-regulatory-organizations-new-york-stock-exchange-llc-notice-of-filing-and-immediate", "https://www.sec.gov/file/exhibit-5-5809", "https://www.sec.gov/enforcement-litigation/administrative-proceedings/34-41574", "https://www.sec.gov/file/34-98048-ex5", "https://www.sec.gov/rules/sro/nyse/34-53073ex5a.pdf", "https://www.federalregister.gov/documents/2026/09/14/2026-18652/self-regulatory-organizations-new-york-stock-exchange-llc-notice-of-filing-and-immediate" ] }, { "name": "clearing_house", "value": "not_found", "read_at": "2026-11-01T00:30:48Z", "pages_checked": [ "https://www.nyse.com", "https://www.sec.gov/edgar/browse/?CIK=876661", "https://apiverve.com/marketplace/stockexchange", "https://www.federalregister.gov/documents/2025/07/30/2025-14358/self-regulatory-organizations-new-york-stock-exchange-llc-nyse-american-llc-nyse-arca-inc-nyse-texas", "https://www.federalregister.gov/documents/2026/02/10/2026-02583/self-regulatory-organizations-new-york-stock-exchange-llc-notice-of-filing-and-immediate", "https://www.sec.gov/file/exhibit-5-5809", "https://www.sec.gov/enforcement-litigation/administrative-proceedings/34-41574", "https://www.sec.gov/file/34-98048-ex5", "https://www.sec.gov/rules/sro/nyse/34-53073ex5a.pdf", "https://www.federalregister.gov/documents/2026/09/14/2026-18652/self-regulatory-organizations-new-york-stock-exchange-llc-notice-of-filing-and-immediate" ] }, { "name": "participant_roles", "value": "not_found", "read_at": "2026-11-01T00:26:16Z", "pages_checked": [ "https://www.nyse.com", "https://www.sec.gov/edgar/browse/?CIK=876661", "https://apiverve.com/marketplace/stockexchange", "https://www.federalregister.gov/documents/2025/07/30/2025-14358/self-regulatory-organizations-new-york-stock-exchange-llc-nyse-american-llc-nyse-arca-inc-nyse-texas", "https://www.federalregister.gov/documents/2026/02/10/2026-02583/self-regulatory-organizations-new-york-stock-exchange-llc-notice-of-filing-and-immediate", "https://www.sec.gov/file/exhibit-5-5809", "https://www.sec.gov/enforcement-litigation/administrative-proceedings/34-41574", "https://www.sec.gov/file/34-98048-ex5", "https://www.sec.gov/rules/sro/nyse/34-53073ex5a.pdf", "https://www.federalregister.gov/documents/2026/09/14/2026-18652/self-regulatory-organizations-new-york-stock-exchange-llc-notice-of-filing-and-immediate" ], "conflict": { "values": [ { "value": [ { "role": "member", "definition": "a natural person associated with a member organization who has been approved by the Exchange and designated by such member organization to effect transactions on the floor of the Exchange or any facility thereof" }, { "role": "member organization", "definition": "a registered broker or dealer (unless exempt pursuant to the Securities Exchange Act of 1934) approved by the Exchange and authorized to designate an associated natural person to effect transactions on the floor of the Exchange or any facility thereof" } ], "source_url": "https://www.sec.gov/rules/sro/nyse/34-53073ex5a.pdf", "quote": "The term “member, ” when used to denote a natural person approved by the Exchange, means a natural person associated with a member organization who has been approved by the Exchange and designated by such member organization to effect transactions on the floor of the Exchange or any facility thereof.", "source_date": null } ], "reason": "review PARTIAL: PARTIAL\n\nThe excerpt supports the definitions for both \"member\" and \"member organization,\" but the claimed value omits the additional details in (b)(ii) and (b)(iii) about other forms of member organi", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "market_maker_obligations", "value": [ { "role": "DMM unit", "obligation": "Each DMM unit subject to Rule 104 shall at all times maintain or have allocated to it minimum Net Liquid Assets equal to the greater of (i) $1,000,000 or (ii) $125,000 for every 0.1% of Exchange Transaction Dollar Volume in each of the DMM unit's registered securities." }, { "role": "DMM", "obligation": "A declaration of extreme market volatility shall not relieve DMMs from the obligation to make pre-opening indications in situations where the opening of a security is delayed for reasons unrelated to the extreme market volatility condition." } ], "read_at": "2026-11-01T00:26:15Z", "pages_checked": [ "https://www.sec.gov/file/exhibit-5-5809", "https://www.nyse.com", "https://www.sec.gov/edgar/browse/?CIK=876661", "https://apiverve.com/marketplace/stockexchange", "https://www.federalregister.gov/documents/2025/07/30/2025-14358/self-regulatory-organizations-new-york-stock-exchange-llc-nyse-american-llc-nyse-arca-inc-nyse-texas", "https://www.federalregister.gov/documents/2026/02/10/2026-02583/self-regulatory-organizations-new-york-stock-exchange-llc-notice-of-filing-and-immediate", "https://www.sec.gov/enforcement-litigation/administrative-proceedings/34-41574", "https://www.sec.gov/file/34-98048-ex5", "https://www.sec.gov/rules/sro/nyse/34-53073ex5a.pdf", "https://www.federalregister.gov/documents/2026/09/14/2026-18652/self-regulatory-organizations-new-york-stock-exchange-llc-notice-of-filing-and-immediate" ], "source_url": "https://www.sec.gov/file/exhibit-5-5809", "source_date": "July 14, 2005" }, { "name": "gates", "value": "not_found", "read_at": "2026-11-01T00:26:52Z", "pages_checked": [ "https://www.nyse.com", "https://www.nyse.com/publicdocs/nyse/markets/nyse/rule-interpretations/2026/Trading_Floor_Badging_Requirements_--_Reg_Memo_July_2026.pdf", "http://www.sec.gov/files/rules/sro/34-48764.pdf", "https://www.nyse.com/trade/membership", "https://www.sec.gov/edgar/browse/?CIK=876661", "https://www.nps.gov/places/new-york-stock-exchange.htm", "http://www.sec.gov/files/rules/sro/nyse/2024/34-101516.pdf", "https://www.sec.gov/enforcement-litigation/administrative-proceedings/34-41574", "https://www.degiro.ch/data/pdf/ch-de/List_of_Execution_Venues.pdf", "https://www.federalregister.gov/public-inspection/2026-21650/self-regulatory-organizations-proposed-rule-changes-new-york-stock-exchange-llc" ] }, { "name": "reference_endpoints", "value": "not_found", "read_at": "2026-11-01T00:26:52Z", "pages_checked": [ "https://www.nyse.com", "https://www.nyse.com/publicdocs/nyse/markets/nyse/rule-interpretations/2026/Trading_Floor_Badging_Requirements_--_Reg_Memo_July_2026.pdf", "http://www.sec.gov/files/rules/sro/34-48764.pdf", "https://www.nyse.com/trade/membership", "https://www.sec.gov/edgar/browse/?CIK=876661", "https://www.nps.gov/places/new-york-stock-exchange.htm", "http://www.sec.gov/files/rules/sro/nyse/2024/34-101516.pdf", "https://www.sec.gov/enforcement-litigation/administrative-proceedings/34-41574", "https://www.degiro.ch/data/pdf/ch-de/List_of_Execution_Venues.pdf", "https://www.federalregister.gov/public-inspection/2026-21650/self-regulatory-organizations-proposed-rule-changes-new-york-stock-exchange-llc" ], "conflict": { "values": [ { "value": [ { "location": "www.ftp.nyse.com", "purpose": "File containing information received by the Exchange in its role as a listing venue", "source": "SEC Release No. 34-101516; File No. SR-NYSE-2024-68" } ], "source_url": "http://www.sec.gov/files/rules/sro/nyse/2024/34-101516.pdf", "quote": "The proposed file would be posted on the NYSE website at www.ftp.nyse.com.", "source_date": "November 5, 2024" } ], "reason": "review PARTIAL: PARTIAL\n\nThe excerpt confirms the file will be posted at **www.ftp.nyse.com** and describes its public availability, but it does not explicitly state the file's **purpose** as \"information received by", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "settlement_links", "value": "not_found", "read_at": "2026-11-01T00:30:49Z", "pages_checked": [ "https://www.nyse.com", "https://www.nyse.com/publicdocs/nyse/markets/nyse/rule-interpretations/2026/Trading_Floor_Badging_Requirements_--_Reg_Memo_July_2026.pdf", "http://www.sec.gov/files/rules/sro/34-48764.pdf", "https://www.nyse.com/trade/membership", "https://www.sec.gov/edgar/browse/?CIK=876661", "https://www.nps.gov/places/new-york-stock-exchange.htm", "http://www.sec.gov/files/rules/sro/nyse/2024/34-101516.pdf", "https://www.sec.gov/enforcement-litigation/administrative-proceedings/34-41574", "https://www.degiro.ch/data/pdf/ch-de/List_of_Execution_Venues.pdf", "https://www.federalregister.gov/public-inspection/2026-21650/self-regulatory-organizations-proposed-rule-changes-new-york-stock-exchange-llc" ] }, { "name": "change_notices", "value": "not_found", "read_at": "2026-11-01T00:26:52Z", "pages_checked": [ "https://www.nyse.com", "https://www.nyse.com/publicdocs/nyse/markets/nyse/rule-interpretations/2026/Trading_Floor_Badging_Requirements_--_Reg_Memo_July_2026.pdf", "http://www.sec.gov/files/rules/sro/34-48764.pdf", "https://www.nyse.com/trade/membership", "https://www.sec.gov/edgar/browse/?CIK=876661", "https://www.nps.gov/places/new-york-stock-exchange.htm", "http://www.sec.gov/files/rules/sro/nyse/2024/34-101516.pdf", "https://www.sec.gov/enforcement-litigation/administrative-proceedings/34-41574", "https://www.degiro.ch/data/pdf/ch-de/List_of_Execution_Venues.pdf", "https://www.federalregister.gov/public-inspection/2026-21650/self-regulatory-organizations-proposed-rule-changes-new-york-stock-exchange-llc" ], "conflict": { "values": [ { "value": [ { "id": "NYSE RM-26-11", "date": "July 21, 2026", "subject": "ACCESS TO THE TRADING FLOOR -- BADGING REQUIREMENTS", "issuer": "NYSE REGULATION" } ], "source_url": "https://www.nyse.com/publicdocs/nyse/markets/nyse/rule-interpretations/2026/Trading_Floor_Badging_Requirements_--_Reg_Memo_July_2026.pdf", "quote": "SUBJECT: ACCESS TO THE TRADING FLOOR -- BADGING REQUIREMENTS", "source_date": "July 21, 2026" } ], "reason": "review UNSUPPORTED: SUPPORTED, The excerpt explicitly references \"NYSE RM-26-11\" in the footnote (1) as the source of the badging requirements, matching the claimed ID, date, subject, and issuer.", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "sources", "value": "not_found", "read_at": "2026-11-01T00:26:52Z", "pages_checked": [ "https://www.nyse.com", "https://www.nyse.com/publicdocs/nyse/markets/nyse/rule-interpretations/2026/Trading_Floor_Badging_Requirements_--_Reg_Memo_July_2026.pdf", "http://www.sec.gov/files/rules/sro/34-48764.pdf", "https://www.nyse.com/trade/membership", "https://www.sec.gov/edgar/browse/?CIK=876661", "https://www.nps.gov/places/new-york-stock-exchange.htm", "http://www.sec.gov/files/rules/sro/nyse/2024/34-101516.pdf", "https://www.sec.gov/enforcement-litigation/administrative-proceedings/34-41574", "https://www.degiro.ch/data/pdf/ch-de/List_of_Execution_Venues.pdf", "https://www.federalregister.gov/public-inspection/2026-21650/self-regulatory-organizations-proposed-rule-changes-new-york-stock-exchange-llc" ], "conflict": { "values": [ { "value": [ { "fact": "The New York Stock Exchange was designated a National Historic Landmark on June 2, 1978.", "location": "18 Broad Street, New York City" } ], "source_url": "https://www.nps.gov/places/new-york-stock-exchange.htm", "quote": "The New York Stock Exchange was designated a National Historic Landmark on June 2, 1978.", "source_date": "December 1, 2022" } ], "reason": "review UNSUPPORTED: SUPPORTED, The excerpt explicitly states that the New York Stock Exchange was designated a National Historic Landmark on June 2, 1978, matching the claimed fact and location.", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "venue_mic", "value": "XNAS", "read_at": "2026-11-01T00:26:09Z", "pages_checked": [ "https://www.iso20022.org/sites/default/files/ISO10383_MIC/ISO10383_MIC.csv" ], "source_url": "https://www.iso20022.org/sites/default/files/ISO10383_MIC/ISO10383_MIC.csv", "source_date": "20260427" }, { "name": "venue_identity", "value": "not_found", "read_at": "2026-11-01T00:27:17Z", "pages_checked": [ "https://www.nasdaq.com", "https://www.juliusbaer.com/fileadmin/legal/20250723-bjb-mifid-ii-execution-venue-list.pdf", "https://ir.nasdaq.com/node/11886/html", "https://ir.nasdaq.com/static-files/0ab36f46-b255-4e81-a1d6-24d8e550bee2", "https://www.nasdaq.com/products/north-american-markets", "https://ir.nasdaq.com/static-files/8f3e2b75-fce8-460b-8c9f-9ced29db8c42", "https://www.nasdaq.com/legal", "https://listingcenter.nasdaq.com/material_search.aspx?cid=14&mcd=lq", "https://listingcenter.nasdaq.com/rulebook/nasdaq/rulefilings", "https://listingcenter.nasdaq.com/assets/rulebook/nasdaq/rules/NASDAQIBRTable.pdf" ] }, { "name": "venue_scope", "value": "not_found", "read_at": "2026-11-01T00:30:50Z", "pages_checked": [ "https://www.nasdaq.com", "https://www.juliusbaer.com/fileadmin/legal/20250723-bjb-mifid-ii-execution-venue-list.pdf", "https://ir.nasdaq.com/node/11886/html", "https://ir.nasdaq.com/static-files/0ab36f46-b255-4e81-a1d6-24d8e550bee2", "https://www.nasdaq.com/products/north-american-markets", "https://ir.nasdaq.com/static-files/8f3e2b75-fce8-460b-8c9f-9ced29db8c42", "https://www.nasdaq.com/legal", "https://listingcenter.nasdaq.com/material_search.aspx?cid=14&mcd=lq", "https://listingcenter.nasdaq.com/rulebook/nasdaq/rulefilings", "https://listingcenter.nasdaq.com/assets/rulebook/nasdaq/rules/NASDAQIBRTable.pdf" ] }, { "name": "rules_page", "value": "not_found", "read_at": "2026-11-01T00:30:50Z", "pages_checked": [ "https://www.nasdaq.com", "https://www.juliusbaer.com/fileadmin/legal/20250723-bjb-mifid-ii-execution-venue-list.pdf", "https://ir.nasdaq.com/node/11886/html", "https://ir.nasdaq.com/static-files/0ab36f46-b255-4e81-a1d6-24d8e550bee2", "https://www.nasdaq.com/products/north-american-markets", "https://ir.nasdaq.com/static-files/8f3e2b75-fce8-460b-8c9f-9ced29db8c42", "https://www.nasdaq.com/legal", "https://listingcenter.nasdaq.com/material_search.aspx?cid=14&mcd=lq", "https://listingcenter.nasdaq.com/rulebook/nasdaq/rulefilings", "https://listingcenter.nasdaq.com/assets/rulebook/nasdaq/rules/NASDAQIBRTable.pdf" ] }, { "name": "halts", "value": "not_found", "read_at": "2026-11-01T00:27:17Z", "pages_checked": [ "https://www.nasdaq.com", "https://www.juliusbaer.com/fileadmin/legal/20250723-bjb-mifid-ii-execution-venue-list.pdf", "https://ir.nasdaq.com/node/11886/html", "https://ir.nasdaq.com/static-files/0ab36f46-b255-4e81-a1d6-24d8e550bee2", "https://www.nasdaq.com/products/north-american-markets", "https://ir.nasdaq.com/static-files/8f3e2b75-fce8-460b-8c9f-9ced29db8c42", "https://www.nasdaq.com/legal", "https://listingcenter.nasdaq.com/material_search.aspx?cid=14&mcd=lq", "https://listingcenter.nasdaq.com/rulebook/nasdaq/rulefilings", "https://listingcenter.nasdaq.com/assets/rulebook/nasdaq/rules/NASDAQIBRTable.pdf" ], "conflict": { "values": [ { "value": [ { "type": "halt for insufficient liquidity", "description": "Nasdaq may determine to halt trading in a security when it observes unusual trading characteristics that could be caused by insufficient liquidity.", "applicability": "Nasdaq-listed securities" }, { "type": "halt related to late filing", "description": "Staff may determine that the circumstances leading to a late filing, coupled with the resulting lack of publicly available information, requires the imposition of a trading halt.", "duration": "The length of a trading halt can vary and there are no prescribed rules that limit how long trading may be halted.", "applicability": "Nasdaq-listed companies late in filing periodic reports" } ], "source_url": "https://listingcenter.nasdaq.com/material_search.aspx?cid=14&mcd=lq", "quote": "It is also possible that Staff may determine that the circumstances leading to a late filing, coupled with the resulting lack of publicly available information, requires the imposition of a trading halt.", "source_date": "5/1/2023" } ], "reason": "review PARTIAL: PARTIAL\n\nThe excerpt supports the description of a \"halt related to late filing\" but does not mention the \"halt for insufficient liquidity\" type.", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "calendar", "value": "not_found", "read_at": 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"https://www.federalregister.gov/documents/2026/08/17/2026-16689/self-regulatory-organizations-cboe-exchange-inc-notice-of-filing-and-immediate-effectiveness-of-a" ] }, { "name": "sources", "value": "not_found", "read_at": "2026-11-01T00:29:03Z", "pages_checked": [ "https://https://fx.cboe.com/", "https://www.cboe.com/markets/us/equities/support/membership/", "https://www.cboe.com/markets/us/equities/membership/", "https://www.cboe.com/markets/us/options/membership/", "https://www.cboe.com/us/equities/regulation/", "https://www.cboe.com/data/market-data-services/document-library/", "https://www.cboe.com/global/fx/resources/", "https://www.cboe.com/markets/fx", "https://www.cboe.com/global/fx/sef/resources/notices/", "https://www.federalregister.gov/documents/2026/08/17/2026-16689/self-regulatory-organizations-cboe-exchange-inc-notice-of-filing-and-immediate-effectiveness-of-a" ] }, { "name": "venue_mic", "value": "TXSE", "read_at": "2026-11-01T00:26:09Z", "pages_checked": [ "https://www.iso20022.org/sites/default/files/ISO10383_MIC/ISO10383_MIC.csv" ], "source_url": "https://www.iso20022.org/sites/default/files/ISO10383_MIC/ISO10383_MIC.csv", "source_date": "20251124" }, { "name": "venue_identity", "value": "not_found", "read_at": "2026-11-01T00:30:02Z", "pages_checked": [ "https://www.txse.com", "https://www.txse.com/regulations", "https://www.txse.com/regulations/issuer-resources", "https://www.txse.com/about-us", "https://www.txse.com/regulations/rulebook", "https://www.txse.com/regulations/rules-filings", "https://www.txse.com/alerts/c829d9e3-ccb9-415f-87ff-42385b0f1d97", "https://www.txse.com/alerts/988d5b3a-a431-4c6f-965c-2980dbbb5f2f" ] }, { "name": "venue_scope", "value": "not_found", "read_at": "2026-11-01T00:30:02Z", "pages_checked": [ "https://www.txse.com", "https://www.txse.com/regulations", "https://www.txse.com/regulations/issuer-resources", "https://www.txse.com/about-us", "https://www.txse.com/regulations/rulebook", "https://www.txse.com/regulations/rules-filings", "https://www.txse.com/alerts/c829d9e3-ccb9-415f-87ff-42385b0f1d97", "https://www.txse.com/alerts/988d5b3a-a431-4c6f-965c-2980dbbb5f2f" ] }, { "name": "rules_page", "value": "not_found", "read_at": "2026-11-01T00:30:02Z", "pages_checked": [ "https://www.txse.com", "https://www.txse.com/regulations", "https://www.txse.com/regulations/issuer-resources", "https://www.txse.com/about-us", "https://www.txse.com/regulations/rulebook", "https://www.txse.com/regulations/rules-filings", "https://www.txse.com/alerts/c829d9e3-ccb9-415f-87ff-42385b0f1d97", "https://www.txse.com/alerts/988d5b3a-a431-4c6f-965c-2980dbbb5f2f" ] }, { "name": "halts", "value": "not_found", "read_at": "2026-11-01T00:30:55Z", "pages_checked": [ "https://www.txse.com", "https://www.txse.com/regulations", "https://www.txse.com/regulations/issuer-resources", "https://www.txse.com/about-us", "https://www.txse.com/regulations/rulebook", "https://www.txse.com/regulations/rules-filings", "https://www.txse.com/alerts/c829d9e3-ccb9-415f-87ff-42385b0f1d97", "https://www.txse.com/alerts/988d5b3a-a431-4c6f-965c-2980dbbb5f2f" ] }, { "name": "calendar", "value": [ { "type": "holiday closure", "date": "Monday, September 7, 2026", "holiday": "Labor Day", "status": "closed" } ], "read_at": "2026-11-01T00:30:02Z", "pages_checked": [ "https://www.txse.com/alerts/c829d9e3-ccb9-415f-87ff-42385b0f1d97", "https://www.txse.com", "https://www.txse.com/regulations", "https://www.txse.com/regulations/issuer-resources", "https://www.txse.com/about-us", "https://www.txse.com/regulations/rulebook", "https://www.txse.com/regulations/rules-filings", "https://www.txse.com/alerts/988d5b3a-a431-4c6f-965c-2980dbbb5f2f" ], "source_url": "https://www.txse.com/alerts/c829d9e3-ccb9-415f-87ff-42385b0f1d97", "source_date": "Aug 31, 2026", "period": "2026-09-07" }, { "name": "clearing_house", "value": "not_found", "read_at": "2026-11-01T00:30:02Z", "pages_checked": [ "https://www.txse.com", "https://www.txse.com/regulations", "https://www.txse.com/regulations/issuer-resources", "https://www.txse.com/about-us", "https://www.txse.com/regulations/rulebook", "https://www.txse.com/regulations/rules-filings", "https://www.txse.com/alerts/c829d9e3-ccb9-415f-87ff-42385b0f1d97", "https://www.txse.com/alerts/988d5b3a-a431-4c6f-965c-2980dbbb5f2f" ], "conflict": { "values": [ { "value": [ { "clearing_agency": "NSCC/DTCC", "instrument": "exchange-traded funds traded pursuant to the ETP UTP Information Circular TXSE-2026-042" } ], "source_url": "https://www.txse.com/alerts/988d5b3a-a431-4c6f-965c-2980dbbb5f2f", "quote": "Clearing Agency: NSCC/DTCC", "source_date": "Oct 23, 2026" } ], "reason": "review UNSUPPORTED: SUPPORTED, The excerpt explicitly states \"Clearing Agency: NSCC/DTCC\" for the exchange-traded funds described in the TXSE-2026-042 circular.", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "participant_roles", "value": [ { "role": "Members", "responsibilities": "Members must establish and maintain written supervisory procedures to ensure compliance with applicable securities laws and Exchange rules." } ], "read_at": "2026-11-01T00:30:02Z", "pages_checked": [ "https://www.txse.com/alerts/988d5b3a-a431-4c6f-965c-2980dbbb5f2f", "https://www.txse.com", "https://www.txse.com/regulations", "https://www.txse.com/regulations/issuer-resources", "https://www.txse.com/about-us", "https://www.txse.com/regulations/rulebook", "https://www.txse.com/regulations/rules-filings", "https://www.txse.com/alerts/c829d9e3-ccb9-415f-87ff-42385b0f1d97" ], "source_url": "https://www.txse.com/alerts/988d5b3a-a431-4c6f-965c-2980dbbb5f2f", "source_date": "Oct 23, 2026" }, { "name": "market_maker_obligations", "value": "not_found", "read_at": "2026-11-01T00:30:55Z", "pages_checked": [ "https://www.txse.com", "https://www.txse.com/regulations", "https://www.txse.com/regulations/issuer-resources", "https://www.txse.com/about-us", "https://www.txse.com/regulations/rulebook", "https://www.txse.com/regulations/rules-filings", "https://www.txse.com/alerts/c829d9e3-ccb9-415f-87ff-42385b0f1d97", "https://www.txse.com/alerts/988d5b3a-a431-4c6f-965c-2980dbbb5f2f" ] }, { "name": "gates", "value": "not_found", "read_at": "2026-11-01T00:30:23Z", "pages_checked": [ "https://www.txse.com", "https://www.txse.com/regulations/rulebook", "https://www.txse.com/trading/member-readiness-and-launch-guide", "https://www.txse.com/regulations", "https://www.txse.com/regulations/rules-filings", "https://www.sec.gov/files/rules/sro/txse/2026/34-105924.pdf", "https://www.txse.com/regulations/issuer-resources" ], "conflict": { "values": [ { "value": [ { "gate": "Membership application", "detail": "Membership application process opens.", "date": "July 2025", "contact": "membership@txse.com · 214-612-0389" }, { "gate": "Member certification", "detail": "All members must complete certification prior to production go-live." }, { "gate": "Physical connectivity", "detail": "Cross-connects are limited to customers within the respective Equinix campuses, must terminate in a customer cage and cannot connect directly to rooftop infrastructure." } ], "source_url": "https://www.txse.com/trading/member-readiness-and-launch-guide", "quote": "Member Certification Requirements: All members must complete certification prior to production go-live.", "source_date": null } ], "reason": "review PARTIAL: **PARTIAL**\n\nThe excerpt explicitly supports the \"Member Certification\" gate but does not mention the \"Membership application\" or \"Physical connectivity\" details (e.g., cross-connect limitations).", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "reference_endpoints", "value": "not_found", "read_at": "2026-11-01T00:30:02Z", "pages_checked": [ "https://www.txse.com", "https://www.txse.com/regulations/rulebook", "https://www.txse.com/trading/member-readiness-and-launch-guide", "https://www.txse.com/regulations", "https://www.txse.com/regulations/rules-filings", "https://www.sec.gov/files/rules/sro/txse/2026/34-105924.pdf", "https://www.txse.com/regulations/issuer-resources" ], "conflict": { "values": [ { "value": [ { "name": "Rules and Filings", "purpose": "TXSE rules, filings", "source": "TXSE Regulation Center" }, { "name": "Rulebook", "purpose": "TXSE rules", "source": "TXSE Regulation Center" }, { "name": "ID Codes", "source": "TXSE Regulation Center" }, { "name": "Governance Documents", "source": "TXSE Regulation Center" }, { "name": "Disciplinary Actions", "source": "TXSE Regulation Center" }, { "name": "Rule 605 Reports", "source": "TXSE Regulation Center" }, { "name": "Regulatory Alerts", "purpose": "regulatory notices", "source": "TXSE Regulation Center" } ], "source_url": "https://www.txse.com/regulations", "quote": "This page provides access to TXSE rules, filings, regulatory notices, and related resources.", "source_date": null } ], "reason": "review PARTIAL: PARTIAL\n\nThe excerpt confirms the availability of \"TXSE rules, filings, regulatory notices, and related resources,\" which aligns with most of the claimed values. However, it does not explicitly mentio", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "settlement_links", "value": "not_found", "read_at": "2026-11-01T00:30:56Z", "pages_checked": [ "https://www.txse.com", "https://www.txse.com/regulations/rulebook", "https://www.txse.com/trading/member-readiness-and-launch-guide", "https://www.txse.com/regulations", "https://www.txse.com/regulations/rules-filings", "https://www.sec.gov/files/rules/sro/txse/2026/34-105924.pdf", "https://www.txse.com/regulations/issuer-resources" ] }, { "name": "change_notices", "value": [ { "id": "SR-TXSE-2026-043", "title": "Proposal to permit midyear increases in ETP listing tiers and provide for prorated incremental listing fees.", "date": "Oct 27, 2026" }, { "id": "SR-TXSE-2026-041", "title": "Proposal to adopt generic listing standards for Commodity-Based Trust Shares.", "date": "Oct 16, 2026" }, { "id": "SR-TXSE-2026-040", "title": "Proposal to implement Corporate Listing Fees on the Exchange.", "date": "Oct 7, 2026" }, { "id": "SR-TXSE-2026-035", "title": "Proposal to amend the Fee Schedule", "date": "Oct 1, 2026" }, { "id": "SR-TXSE-2026-014", "title": "Proposal to adopt connectivity fees for connecting to the Exchange", "date": "Jul 22, 2026" }, { "id": "SR-TXSE-2026-011", "title": "Proposal to adopt the initial fee schedule applicable to Members of the Exchange", "date": "Jul 7, 2026" } ], "read_at": "2026-11-01T00:30:02Z", "pages_checked": [ "https://www.txse.com/regulations/rules-filings", "https://www.txse.com", "https://www.txse.com/regulations/rulebook", "https://www.txse.com/trading/member-readiness-and-launch-guide", "https://www.txse.com/regulations", "https://www.sec.gov/files/rules/sro/txse/2026/34-105924.pdf", "https://www.txse.com/regulations/issuer-resources" ], "source_url": "https://www.txse.com/regulations/rules-filings", "source_date": "Oct 27, 2026" }, { "name": "sources", "value": "not_found", "read_at": "2026-11-01T00:30:02Z", "pages_checked": [ "https://www.txse.com", "https://www.txse.com/regulations/rulebook", "https://www.txse.com/trading/member-readiness-and-launch-guide", "https://www.txse.com/regulations", "https://www.txse.com/regulations/rules-filings", "https://www.sec.gov/files/rules/sro/txse/2026/34-105924.pdf", "https://www.txse.com/regulations/issuer-resources" ] } ], "keyed_by": "venue_mic (one block of the Appendix D fields per venue, in catalogue order)", "reading": { "run": "reads/DEFECTS01-AMP-20261101", "order": "BOOK-02 (2026-10-30)", "read_at": "2026-11-01T00:26:08Z", "engines": { "search": "perplexity sonar", "reader": "claude-opus-5-5", "review": "mistral-large-latest (review-only)" }, "pages": { "https://www.nyse.com": { "status": 200, "sha256": "sha256:cecbebcc7718909d92efb5133a5c7bb4fbc690b41ca90214cb5694da0a47a61c", "read_at": "2026-11-01T00:26:15Z", "last_modified": null }, "https://www.sec.gov/edgar/browse/?CIK=876661": { "status": 200, "sha256": 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"09a0d07b7b8348147453a2d8b18bc6638e3c5b16f749462582c9b1edf0fd0e38" }, "notes": { "XNYS": { "venue_identity": "verified · date on-page", "venue_scope": "verified · date Last-Modified", "rules_page": "not stated on the pages read", "halts": "not stated on the pages read", "calendar": "not stated on the pages read", "clearing_house": "not stated on the pages read", "participant_roles": "review PARTIAL: PARTIAL\n\nThe excerpt supports the definitions for both \"member\" and \"member organization,\" but the claimed value omits the additional details in (b)(ii) and (b)(iii) about other forms of member organi", "market_maker_obligations": "verified · date on-page", "gates": "verified but undated — the source bears no date (order: source_date or not_found)", "reference_endpoints": "review PARTIAL: PARTIAL\n\nThe excerpt confirms the file will be posted at **www.ftp.nyse.com** and describes its public availability, but it does not explicitly state the file's **purpose** as \"information received by", "settlement_links": "not stated on the pages read", "change_notices": "review UNSUPPORTED: SUPPORTED, The excerpt explicitly references \"NYSE RM-26-11\" in the footnote (1) as the source of the badging requirements, matching the claimed ID, date, subject, and issuer.", "sources": "review UNSUPPORTED: SUPPORTED, The excerpt explicitly states that the New York Stock Exchange was designated a National Historic Landmark on June 2, 1978, matching the claimed fact and location." }, "XNAS": { "venue_identity": "verified but undated — the source bears no date (order: source_date or not_found)", "venue_scope": "not stated on the pages read", "rules_page": "not stated on the pages read", "halts": "review PARTIAL: PARTIAL\n\nThe excerpt supports the description of a \"halt related to late filing\" but does not mention the \"halt for insufficient liquidity\" type.", "calendar": "not stated on the pages read", "clearing_house": "not stated on the pages read", "participant_roles": "not stated on the pages read", "market_maker_obligations": "not stated on the pages read", "gates": "verified · date Last-Modified", "reference_endpoints": "not stated on the pages read", "settlement_links": "not stated on the pages read", "change_notices": "verified · date Last-Modified", "sources": "verified · date on-page (reader)" }, "CBOE": { "venue_identity": "verified but undated — the source bears no date (order: source_date or not_found)", "venue_scope": "verified but undated — the source bears no date (order: source_date or not_found)", "rules_page": "verified but undated — the source bears no date (order: source_date or not_found)", "halts": "verified · date Last-Modified", "calendar": "verified · date Last-Modified", "clearing_house": "not stated on the pages read", "participant_roles": "verified · date Last-Modified", "market_maker_obligations": "verified · date Last-Modified", "gates": "verified but undated — the source bears no date (order: source_date or not_found)", "reference_endpoints": "verified but undated — the source bears no date (order: source_date or not_found)", "settlement_links": "not stated on the pages read", "change_notices": "verified but undated — the source bears no date (order: source_date or not_found)", "sources": "verified but undated — the source bears no date (order: source_date or not_found)" }, "TXSE": { "venue_identity": "verified but undated — the source bears no date (order: source_date or not_found)", "venue_scope": "verified but undated — the source bears no date (order: source_date or not_found)", "rules_page": "verified but undated — the source bears no date (order: source_date or not_found)", "halts": "not stated on the pages read", "calendar": "verified · date on-page (reader)", "clearing_house": "review UNSUPPORTED: SUPPORTED, The excerpt explicitly states \"Clearing Agency: NSCC/DTCC\" for the exchange-traded funds described in the TXSE-2026-042 circular.", "participant_roles": "verified · date on-page (reader)", "market_maker_obligations": "not stated on the pages read", "gates": "review PARTIAL: **PARTIAL**\n\nThe excerpt explicitly supports the \"Member Certification\" gate but does not mention the \"Membership application\" or \"Physical connectivity\" details (e.g., cross-connect limitations).", "reference_endpoints": "review PARTIAL: PARTIAL\n\nThe excerpt confirms the availability of \"TXSE rules, filings, regulatory notices, and related resources,\" which aligns with most of the claimed values. 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