MEMX, LLC — Form 1 Application and Exhibits
(Release No. 34-87436; File No. 10-237)
October 31, 2019
Cover Letter (for initial filing)
|Exhibit A||A copy of the constitution, articles of incorporation or association with all subsequent amendments, and of existing by-laws or corresponding rules or instruments, whatever the name, of the applicant.|
|Exhibit B||A copy of all written rulings, settled practices having the effect of rules, and interpretations of the Governing Board or other committee of the applicant in respect of any provisions of the constitution, by-laws, rules, or trading practices of the applicant which are not included in Exhibit A.|
|Exhibit C||Information relating to each subsidiary or affiliate of the applicant, and of any entity with whom the applicant has a contractual or other agreement relating to the operation of an electronic trading system to be used to effect transactions on the exchange.
|Exhibit D||Financial statements for each subsidiary or affiliate of the exchange.|
|Exhibit E||Description of proposed operation of the exchange.|
|Exhibit F||A complete set of all forms pertaining to the application for membership and the approval of a person as associated with a member.
|Exhibit G||Financial statements, reports or questionnaires required of members, participants, subscribers or any other users relating to financial responsibility or minimum capital requirements for such members, participants or any other users.|
|Exhibit H||Listing applications of the applicant, including any agreements required to be executed in connection with listing and a schedule of listing fees.|
|Exhibit I||Audited financial statements of the applicant for the latest fiscal year.|
|Exhibit J||A list of the officers, governors, members of all standing committees, or persons performing similar functions for the applicant.|
|Exhibit K||Shareholders owning 5% or more of the applicant.|
|Exhibit L||Exchange membership criteria and conditions under which members may be subject to suspension or termination with regard to access to the exchange.|
|Exhibit M||List of members of the exchange.|
|Exhibit N||Schedule of securities listed or traded pursuant to unlisted trading privileges on the exchange.|
This exhibit index summarizes the exhibits required by the Form 1 Application for Registration as a National Securities Exchange.