Correction to Notice of Proposed Amendments and Request For Comment – Alpha Exchange Inc.

Alpha Exchange Inc. (“Alpha”) is publishing this Correction to the Notice of Proposed Amendments and Request for Comments (the “Request for Comment”) that was published on March 2, 2023 to correct certain clerical errors as set out below.

Correction #1: Outline of the Amendments, and Approach – Alpha-X and Alpha DRK – New Order Books – Item 5(c) – Page 6 of the Request for Comment:

[…]

This provision will be amended to reflect the New Order Books, including the new order types described herein:

Alpha-X

1. Price
2. Broker (excludingincludingorders marked as anonymous)
3. Time (Please also see the section entitled “Alpha-X - Smart Limit” below.)

Correction #2: Appendix A – Blacklined Version of Alpha Rules Reflecting the Amendments – Section 5.2.2 Self-Trade Prevention - Page 18 of the Request for Comment:

5.2.2 SELF-TRADE PREVENTION

In addition to the self-trade prevention mechanisms set out herein, the following self-trade prevention mechanism is only available for order types available on Alpha DRK:

(1)              No Cancel (XM)

An optional feature that prevents two orders from the same broker from executing against each other based on unique trading keys defined by the broker. An active order is bookedrejected instead of trading against a resting order from the same broker with the same unique trading key.