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Rule 402. Customer Protection—Reserves and Custody of Securities

This rule is no longer applicable. Incorporated NYSE Rule 402 has been superseded by FINRA Rules 4330 and 4340. Please consult the appropriate FINRA Rules.

Rule 401A. Customer Complaints

This rule is no longer applicable.

Rule 401. Business Conduct

This rule is no longer applicable. Incorporated NYSE Rule 401 has been superseded by FINRA Rule 3110. Please consult the appropriate FINRA Rule.

Conduct of Accounts (Rules 401-414)

Rule 392. Notification Requirements for Offerings of Listed Securities

This rule is no longer applicable effective December 15, 2008.

Special Offerings, Exchange, and Secondary Distribution (Rules 391-396)

Rule 387. COD Orders

This rule is no longer applicable. Incorporated NYSE Rule 387 has been superseded by FINRA Rule 11860. Please consult the appropriate FINRA Rule.

Rule 382. Carrying Agreements

This rule is no longer applicable.

Commissions (Rules 365-390)

Rule 354. Reports to Control Persons

This rule is no longer applicable. Incorporated NYSE Rule 354 has been superseded by FINRA Rule 3110. Please consult the appropriate FINRA Rule.

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