Expand All Rule 10 "Registered Representative" Rule 296 Liquidation of Securities Loans and Borrowings Rule 311 Formation and Approval of Member Organizations Rule 313 Submission of Partnership Articles Submission of Corporate Documents Rule 319 Fidelity Bonds Rule 325 Capital Requirements Rule 342 Offices — Approval, Supervision and Control Rule 343 Offices — Sole Tenancy, Hours, Display of Membership Certificates Rule 344 Research Analysts and Supervisory Analysts Rule 345 Employees — Registration, Approval, Records Rule 346 Limitations — Employment and Association with Member Organizations Rule 350 Compensation or Gratuities to Employees of Others Rule 351 Reporting Requirements Rule 382 Carrying Agreements Rule 375 Missing the Market Rule 387 COD Orders Rule 401 Business Conduct Rule 402 Customer Protection — Reserves and Custody of Securities Rule 405 Diligence as to Accounts Rule 407 Transactions — Employees of Member Organizations and the Exchange Rule 408 Discretionary Power in Customers' Accounts Rule 409 Statements of Accounts to Customers Rule 410 Records of Orders Rule 412 Customer Account Transfer Contracts Rule 416 Questionnaires and Reports Rule 430 Partial Delivery of Securities to Customers on C.O.D. Purchases Rule 431 Margin Requirements Rule 435(5) Circulation of Rumors Rule 436 Interest on Credit Balance Rule 440.20 Suspense Accounts Rule 440A Telephone Solicitation Rule 472 Communications with the Public Book traversal links for Retired Incorporated NYSE Rule Interpretations ‹ Rule 791. Communications to Customers Up Rule 10 "Registered Representative" ›
