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Rule 420. Reports of Borrowings and Subordinate Loans For Capital Purposes

This rule is no longer applicable. NYSE Rule 420 has been superseded by FINRA Rule 4110. Please consult the appropriate FINRA Rule.

Rule 418. Audit

This rule is no longer applicable. Incorporated NYSE Rule 418 has been superseded by FINRA Rule 4140. Please consult the appropriate FINRA Rule.

Financial Statements and Reports (Rules 415-425)

Rule 414. Index and Currency Warrants

This rule is no longer applicable effective February 17, 2009.

Rule 413. Uniform Forms

This rule is no longer applicable.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.

Rule 412. Customer Account Transfer Contracts

This rule is no longer applicable effective November 11, 2008.

Rule 411. Erroneous Reports

This rule is no longer applicable.

Rule 410. Records of Orders

This rule is no longer applicable. Incorporated NYSE Rule 410 has been superseded by FINRA Rule 4510 Series. Please consult the appropriate FINRA Rule.

Rule 409A. SIPC Disclosures

This rule is no longer applicable effective August 17, 2009.

Rule 409. Statements of Accounts to Customers

This rule is no longer applicable. Incorporated NYSE Rule Interpretations have been superseded by Temporary Dual FINRA-NYSE member Rule Series.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

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