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Incorporated NYSE Rule Interpretations

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Rule 10 "Registered Representative"
Rule 311 Formation and Approval of Member Organizations
Rule 344 Research Analysts and Supervisory Analysts
Rule 345 Employees — Registration, Approval, Records
Rule 375 Missing the Market
Rule 401 Business Conduct
Rule 408 Discretionary Power in Customers' Accounts
Rule 409 Statements of Accounts to Customers
Rule 435(5) Circulation of Rumors