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Rule 10. "Registered Representative"

This rule is no longer applicable. Incorporated NYSE Rule 10 has been superseded by FINRA Rule 1200 Series. Please consult the appropriate FINRA Rule.

The term "registered representative" means an employee engaged in the solicitation or handling of accounts or orders for the purchase or sale of securities, or other similar instruments for the accounts of customers of his employer or in the solicitation or handling of business in connection with investment advisory or investment management services furnished on a fee basis by his employer.

Amended:
July 17, 1969;
May 2, 1974;
February 4, 1988.

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