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Rule 405A. Non-Managed Fee-Based Account Programs—Disclosure and Monitoring

This rule is no longer applicable effective December 15, 2008.

Rule 405. Diligence as to Accounts

This rule is no longer applicable. Incorporated NYSE Rule 405 has been superseded by FINRA Rule 2111. Please consult the appropriate FINRA Rule.

Every member organization is required through a principal executive or a person or persons designated under the provisions of Rule 342(b)(1) [¶2342] to

Rule 404. Individual Members Not to Carry Accounts

This rule is no longer applicable effective November 11, 2008.

No member organization shall carry accounts or hold securities for customers without receiving the prior approval of the Exchange. No member, doing business as an individual, shall carry accounts for customers, except as provided in Rule 311(h) [¶2311].

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This rule is no longer applicable. Incorporated NYSE Rule 402 has been superseded by FINRA Rules 4330 and 4340.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This rule is no longer applicable.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This rule is no longer applicable. Incorporated NYSE Rule 401 has been superseded by FINRA Rule 3110.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This rule is no longer applicable effective December 15, 2008.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This rule is no longer applicable. Incorporated NYSE Rule 387 has been superseded by FINRA Rule 11860.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.

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