For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
This rule is no longer applicable effective February 17, 2009.
Each member and member organization shall report to the Exchange such information as may be required with respect to any substantial option relating to listed securities in which such member, member organization or principal executive therein is directly or indirectly interested or of which such member, member organization or principal executive has knowledge by reason of transactions executed by or through such member or organization.
This rule is no longer applicable. Incorporated NYSE Rule 421 has been superseded by FINRA Rule 4521. Please consult the appropriate FINRA Rule.
Member organizations shall submit, as required by the Exchange, periodic reports with respect to
This rule is no longer applicable. NYSE Rule 420 has been superseded by FINRA Rule 4110. Please consult the appropriate FINRA Rule.
This rule is no longer applicable. Incorporated NYSE Rule 418 has been superseded by FINRA Rule 4140. Please consult the appropriate FINRA Rule.
This rule is no longer applicable effective February 17, 2009.
This rule is no longer applicable.
Every individual member and every member organization shall adopt such uniform forms as the Exchange may prescribe to facilitate the orderly flow of transactions within financial community.
| Adopted. February 3, 1973. |
This rule is no longer applicable effective November 11, 2008.
This rule is no longer applicable.