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Up to Sep 30 2018Oct 1 2018 onwards

Rule 10 "Registered Representative"

This rule is no longer applicable. Incorporated NYSE Rule Interpretation 10 has been superseded by FINRA Rule 1200 Series.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

/01 Persons Not Required To Be Registered

Persons associated with a member organization whose functions are solely and exclusively clerical or ministerial will not be required to register with the Exchange. Examples of persons not required to register include wire operators, (i.e., member organization order room personnel who deal exclusively and on a non-discretionary basis with other personnel of the same organization), customer service personnel who do not take orders directly from the public and who take note of customer inquiries and seek to administratively resolve them, as well as certain other operations, administrative and support personnel.

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