View Whole Section Print Print Manager Link
Previous Next

Conduct of Accounts (Rules 401-414)


View whole section

Contents:
Rule 401. Business Conduct
Rule 401A. Customer Complaints
Rule 402. Customer Protection—Reserves and Custody of Securities
Rule 404. Individual Members Not to Carry Accounts
Rule 405. Diligence as to Accounts
Rule 405A. Non-Managed Fee-Based Account Programs—Disclosure and Monitoring
Rule 406. Designation of 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 412. Customer Account Transfer Contracts
Rule 413. Uniform Forms
Rule 414. Index and Currency Warrants