Trades Excluded from Limit Up/Limit Down (LULD) Price Bands

Pursuant to the Regulation NMS Plan to Address Extraordinary Market Volatility (Plan) (see Section VI(A)(1)), transactions that both (1) do not update the last sale price (except if solely because the transaction was reported late) and (2) are excepted or exempt from the SEC's trade-through rule (Reg NMS Rule 611) can be executed outside the price bands. To qualify, a trade must satisfy both prongs of the exclusion.

Reg NMS Exception	Does this update last sale?	Can this be executed outside the LULD price bands?
611(b)(1) Self Help	Yes	No
611(b)(2) Not Regular Way	No	Yes
611(b)(3) Open / Close	Yes	No¹
611(b)(4) Crossed Markets	Yes	No
611(b)(5) Intermarket Sweep (Inbound)	Yes	No
611(b)(6) Intermarket Sweep (Outbound)	Yes	No
611(b)(7) Benchmark/Derivatively Priced	No	Yes
611(b)(8) Flickering Quotes	Yes	No
611(b)(9) Stopped Order	No	Yes

Reg NMS Exemption (Rule 611(d))	Does this update last sale?	Can this be executed outside the LULD price bands?
Sub-Penny Trade-Through	Yes	No
Qualified Contingent Trade	No	Yes
Error Correction	No	Yes
Print Protection	No	Yes
Non-Convertible Preferred Securities	Yes	No

1. Note, however, that pursuant to a separate exclusion under the Plan, the LULD price bands do not apply to single-priced opening, reopening and closing transactions on the Primary Listing Exchange.