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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:

Capital Requirements (Rules 325–328)

Rule 325. Capital Requirements Member Organizations

Rule 326(a). Growth Capital Requirement

Rule 326(b). Business Reduction Capital Requirement

Rule 326(c). Unsecured Loans and Advances

Rule 326(d). Reduction of Elimination of Loans and Advances

Rule 328. Sale-And-Leasebacks, Factoring, Financing and Similar Arrangements

Offices and Employees (Rules 341–354)

Rule 342. Offices—Approval, Supervision and Control

Rule 343. Offices—Sole Tenancy, and Hours

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 Members and Member Organizations

Rule 351. Reporting Requirements

Rule 352. Guarantees, Sharing in Accounts, and Loan Arrangements

Rule 353. Rebates and Compensation

Rule 354. Reports to Control Persons

Commissions (Rules 365–390)

Rule 375. Missing the Market

Rule 382. Carrying Agreements

Rule 387. COD Orders

Conduct of Accounts (Rules 401–414)

Rule 401. Business Conduct

Rule 401A. Customer Complaints

Rule 402. Customer Protection—Reserves and Custody of Securities

Rule 405. Diligence as to Accounts

Rule 407. Transactions—Employees of Members, Member Organizations and the Exchange

Rule 407A. Disclosure of All Member Accounts

Rule 408. Discretionary Power in Customers' Accounts

Rule 409. Statements of Accounts to Customers

Rule 409A. SIPC Disclosures

Rule 410. Records of Orders

Rule 411. Erroneous Reports

Rule 413. Uniform Forms

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

Rule 418. Audit

Rule 420. Reports of Borrowings and Subordinate Loans For Capital Purposes

Rule 421. Periodic Reports

Margins (Rules 430–434)

Rule 430. Partial Delivery of Securities to Customers on C.O.D. Purchases

Rule 431. Margin Requirements

Rule 432. Daily Record of Required Margin

Rule 434. Required Submission of Requests for Extensions of Time for Customers

Miscellaneous Rules and Provisions (Rules 435–440K)

Rule 435. Miscellaneous Prohibitions

Rule 440. Books and Records

Rule 440A. Telephone Solicitation

Rule 445. Anti-Money Laundering Compliance Program