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.