Rule 328. Sale-And-Leasebacks, Factoring, Financing and Similar Arrangements
This rule is no longer applicable. Incorporated NYSE Rule 328 has been superseded by FINRA Rule 4110. Please consult the appropriate FINRA Rule.
Rule 326(d). Reduction of Elimination of Loans and Advances
This rule is no longer applicable. Incorporated NYSE Rule 326 has been superseded by FINRA Rule 4120. Please consult the appropriate FINRA Rule.
Rule 326(c). Unsecured Loans and Advances
This rule is no longer applicable. Incorporated NYSE Rule 326 has been superseded by FINRA Rule 4120. Please consult the appropriate FINRA Rule.
Rule 326(b). Business Reduction Capital Requirement
This rule is no longer applicable. Incorporated NYSE Rule 326 has been superseded by FINRA Rule 4120. Please consult the appropriate FINRA Rule.
A member organization that carries customer accounts shall forthwith reduce its business:
Rule 326(a). Growth Capital Requirement
This rule is no longer applicable. Incorporated NYSE Rule 326 has been superseded by FINRA Rule 4120. Please consult the appropriate FINRA Rule.
A member organization that carries customer accounts shall not expand its business during any period in which:
Rule 322. Guarantees by, or Flow Through Benefits for Members or Member Organizations
This rule is no longer applicable.
Prior written notice shall be given the Exchange whenever any member or any member organization:
(a) guarantees, endorses or assumes, directly or indirectly, the obligations or liabilities of another person; or
(b) receives flow through capital benefits in accordance with Appendix C of Rule 15c3-1 under the Securities Exchange Act of 1934.