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NYSE Member Regulation Rule Interpretations |
Rule 10 (PDF 25 KB) - Registered Representative
Rule 296 (PDF 4 KB) - Liquidation of Securities Loans and Borrowings
Rule 311 (PDF 37 KB) - Formation and Approval of Membr. Orgs
Rule 313 (PDF 5 KB) - Submission of Partnership Articles - Submission of Corporate Documents
Rule 319 (PDF 8 KB) - Fidelity Bonds
Rule 325 (PDF 4 KB) - Capital Requirements
Rule 342 (PDF 32 KB) - Offices - Approval, Supervision and Control
Rule 343 (PDF 5 KB) - Offices - Sole Tenancy, Hours, Display of Membership Certificates
Rule 344 (PDF 46 KB) - Research and Supervisory Analysts (updated 04/18/08 )
Rule 345 (PDF 34 KB) - Employees - Registration, Approval, Records
Rule 345A (PDF 27 KB) - Continuing Education for Registered Persons
Rule 346 (PDF 9 KB) - Limitations - Employment and Association with Member Organizations
Rule 350 (PDF 6 KB) - Compensation or Gratuities to Employees of Others
Rule 351 (PDF 4 KB) - Reporting Requirements
Rule 375 (PDF 5 KB) - Missing the Market
Rule 382 (PDF 11 KB) - Carrying Agreements
Rule 387 (PDF 12 KB) - COD Orders
Rule 401 (PDF 14 KB) - Business Conduct
Rule 402 (PDF 4 KB) - Customer Protection - Reserves and Custody of Securities
Rule 405 (PDF 16 KB) - Diligence As To Accounts
Rule 407 (PDF 5 KB) - Transactions - Employees of Members, Member Organizations and the Exchange
Rule 408 (PDF 15 KB) - Discretionary Power in Cust. Accts
Rule 409 (PDF 38 KB) - Statements of Accounts to Customers
Rule 410 (PDF 6 KB) - Records of Orders
Rule 412 (PDF 31KB) - Customer Securities Account Transfers
Rule 416 (PDF 4 KB) - Questionnaires and Reports
Rule 430 (PDF 6 KB) - Partial Delivery of Securities To Customers on COD Purchases
Rule 431 (PDF 3,710 KB) - Margin Requirements
Rule 435(5) (PDF 4 KB) - Circulation of Rumors
Rule 436 (PDF 4 KB) - Interest on Credit Balances
Rule 440.20 (PDF 4 KB) - Suspense Accounts
Rule 440A (PDF 4 KB) - Telephone Solicitation
Rule 472 (PDF 65 KB) - Communications with the Public
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