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  • Incorporated NYSE Rules

    FINRA is incorporating into its rulebook the rules of New York Stock Exchange LLC ("NYSE") listed below (the "Incorporated NYSE Rules"). The Incorporated NYSE Rules will apply solely to those members of FINRA that are also members of NYSE on or after July 30, 2007 ("Dual Members"), until such time as FINRA adopts a consolidated rulebook applicable to all of its members. The Incorporated NYSE Rules will apply to the same categories of persons to which they apply as of July 30, 2007. In applying the Incorporated NYSE Rules to Dual Members, FINRA also is incorporating the related interpretive positions set forth in the NYSE Rule Interpretations Handbook and NYSE Information Memos.

    General Rules (Rules 1–38)
    •   Definitions of Terms (Rules 1–19)
    Dealings and Settlements (Rules 45–299C)
    •   Liquidation of Securities Loans and Borrowings (Rule 296)
    Admission of Members (Rules 300–324)
    •   Partnerships—Corporations (Rules 311–324)
    Operation of Member Organizations (Rules 325–465)
    •   Capital Requirements (Rules 325–328)
    •   Offices and Employees (Rules 341–354)
    •   Commissions (Rules 365–390)
    •   Special Offerings, Exchange, and Secondary Distribution (Rules 391–396)
    •   Conduct of Accounts (Rules 401–414)
    •   Financial Statements and Reports (Rules 415–425)
    •   Miscellaneous Rules and Provisions (Rules 435–440K)
    Communications with the Public (Rules 471–474B)