This rule is no longer applicable. Incorporated NYSE Rule Interpretation 440A has been superseded by FINRA Rule 3230. Please consult the appropriate FINRA Rule.

This rule is no longer applicable.

This rule interpretation is no longer applicable effective November 11, 2008.

This rule is no longer applicable.

(a) DEFINITIONS

For purposes of this Rule, the following terms shall have the meanings specified below:

This rule is no longer applicable.

No member organization may accept from a customer a purchase order for any security, other than obligations of the United States Government, unless it has first ascertained that the customer placing the order or its agent will receive against payment securities in an amount equal to any execution confirmed to the customer, even though such an execution may represent the purchase of only a part of a larger order.

This rule interpretation is no longer applicable effective February 8, 2010.

This rule interpretation is no longer applicable effective November 11, 2008.

This rule is no longer applicable.

This rule is no longer applicable. Incorporated NYSE Rule Interpretations have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.

This rule is no longer applicable. Incorporated NYSE Rule Interpretation 407 has been superseded by FINRA Rule 3210. Please consult the appropriate FINRA Rule.