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Incorporated NYSE Rule Interpretations


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Contents:
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 345A Continuing Education for Registered Persons
Rule 346 Limitations — Employment and Association with Member Organizations
Rule 350 Compensation or Gratuities to Employees of Others
Rule 351 Reporting Requirements
Rule 375 Missing the Market
Rule 382 Carrying Agreements
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 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 440.20 Suspense Accounts
Rule 440A Telephone Solicitation
Rule 472 Communications with the Public