This rule is no longer applicable. Incorporated NYSE Rule 440A has been superseded by FINRA Rule 3230.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

This rule is no longer applicable.

Every member not associated with a member organization and every member organization shall make and preserve books and records as the Exchange may prescribe and as prescribed by Rule 17a-3. The recordkeeping format, medium and retention period shall comply with Rule 17a-4 under the Securities Exchange Act of 1934.

This rule is no longer applicable effective November 11, 2008.

This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series.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

No member, member organization, or allied member therein shall:

This rule is no longer applicable effective November 11, 2008.

• • • Supplementary Material: --------------

Reports on Form SS20

This rule is no longer applicable. Incorporated NYSE Rule 434 has been superseded by FINRA Rule 4230. Please consult the appropriate FINRA Rule.

This rule is no longer applicable. Incorporated NYSE Rule 432 has been superseded by FINRA Rule 4220. Please consult the appropriate FINRA Rule.

This rule is no longer applicable. Incorporated NYSE Rule 431 has been superseded by FINRA Rule 4210. Please consult the appropriate FINRA Rule.

This rule is no longer applicable.

No member or 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.