FINRA Manual - Incorporated NYSE Rules - Operation of Member Organizations (Rules 325–465)

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Location: FINRA Manual > Incorporated NYSE Rules > Operation of Member Organizations (Rules 325–465)

Operation of Member Organizations (Rules 325–465)

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Contents:

Offices and Employees (Rules 341–354)

Commissions (Rules 365–390)

Rule 375. Missing the Market

Conduct of Accounts (Rules 401–414)

Rule 408. Discretionary Power in Customers' Accounts

Rule 409. Statements of Accounts to Customers

Financial Statements and Reports (Rules 415–425)

Rule 416. Questionnaires and Reports

Rule 416A. Member And Member Organization Profile Information Updates And Quarterly Certifications Via The Electronic Filing Platform

Miscellaneous Rules and Provisions (Rules 435–440K)

Rule 435. Miscellaneous Prohibitions