Expand All Rule 435. Miscellaneous Prohibitions Rule 436. Interest on Credit Balances Rule 440. Books and Records Rule 440A. Telephone Solicitation Rule 440F. Public Short Sale Transactions Effected on the Exchange Rule 440G. Transactions in Stocks and Warrants for the Accounts of Members, Principal Executives and Member Organizations Rule 440I. Records of Compensation Arrangements—Floor Brokerage Rule 445. Anti-Money Laundering Compliance Program Rule 446. Business Continuity and Contingency Plans Book traversal links for Miscellaneous Rules and Provisions (Rules 435-440K) ‹ Rule 434. Required Submission of Requests for Extensions of Time for Customers Up Rule 435. Miscellaneous Prohibitions ›