NYSE Rule Interpretations

Rule 10 - Registered Representative.pdf (click to launch file) (pdf)
Rule 35 - Floor Employees To Be Registered.pdf (click to launch file) (pdf)
Rule 296 - Liquidation of Securities Loans and Borrowings.pdf (click to launch file) (pdf)
Rule 304 - Allied Members and Approved Persons.pdf (click to launch file) (pdf)
Rule 304A - Allied Member Examination Requirements.pdf (click to launch file) (pdf)
Rule 311 Formation and Approval of Membr. Orgs.pdf (click to launch file) (pdf)
Rule 313 - Submission of Partnership Articles - Submission of Corporate Documents (click to launch file) (pdf)
Rule 319 - Fidelity Bonds.pdf (click to launch file) (pdf)
Rule 325 - Capital Requirements.pdf (click to launch file) (pdf)
Rule 342 - Offices - Approval, Supervision and Control.pdf (click to launch file) (pdf)
Rule 343 - Offices - Sole Tenancy, Hours, Display of Membership Certificates.pdf (click to launch file) (pdf)
Rule 344 - Research and Supervisory Analysts.pdf (click to launch file) (pdf)
Rule 345 - Employees - Registration, Approval, Records.pdf (click to launch file) (pdf)
Rule 345A - Continuing Education for Registered Persons.pdf (click to launch file) (pdf)
Rule 346 - Limitations - Employment and Association with Member Organizations.pdf (click to launch file) (pdf)
Rule 350 - Compensation or Gratuities to Employees of Others.pdf (click to launch file) (pdf)
Rule 351- Reporting Requirements.pdf (click to launch file) (pdf)
Rule 375 - Missing the Market.pdf (click to launch file) (pdf)
Rule 382 - Carrying Agreements.pdf (click to launch file) (pdf)
Rule 387 - COD Orders.pdf (click to launch file) (pdf)
Rule 401 - Business Conduct.pdf (click to launch file) (pdf)
Rule 402 - Customer Protection - Reserves and Custody of Securities.pdf (click to launch file) (pdf)
Rule 405 - Diligence As To Accounts.pdf (click to launch file) (pdf)
Rule 407 - Transactions - Employees of Members, Member Organizations and the Exchange.pdf (click to launch file) (pdf)
Rule 408 - Discretionary Power in Cust. Accts.pdf (click to launch file) (pdf)
Rule 409 - Statements of Accounts to Customers.pdf (click to launch file) (pdf)
Rule 410 - Records of Orders.pdf (click to launch file) (pdf)
Rule 412 - Customer Securities Account Transfers.pdf (click to launch file) (pdf)
Rule 416 - Questionnaires and Reports.pdf (click to launch file) (pdf)
Rule 430 - Partial Delivery of Securities To Customers on COD Purchases.pdf (click to launch file) (pdf)
Rule 431 - Margin Requirements.pdf (click to launch file) (pdf)
Rule 435(5) - Circulation of Rumors.pdf (click to launch file) (pdf)
Rule 436 - Interest on Credit Balances.pdf (click to launch file) (pdf)
Rule 440.20 - Suspense Accounts.pdf (click to launch file) (pdf)
Rule 440A - Telephone Solicitation.pdf (click to launch file) (pdf)
Rule 440B - Short Sales.pdf (click to launch file) (pdf)
Rule 440C - Deliveries Against Short Sales.pdf (click to launch file) (pdf)
Rule 440H - Transaction Fees.pdf (click to launch file) (pdf)
Rules 456-458 - Representation to Management - Filing Participant Information - Filing of Proxy Materials.pdf (click to launch file) (pdf)
Rule 472 - Communications with the Public.pdf (click to launch file) (pdf)