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About the NYSE Rules

The Rules of the NYSE.

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NYSE Rules

Rules

  Rule 13 - Orders and Modifiers
  Rule 15 - Pre-Opening Indications
  Rule 36 - Communications Between Exchange and Members’ Offices

Dealings and Settlements

  Rule 70 - Execution of Floor Broker Interest
  Rule 86 - NYSE Bonds SM

Admission of Members

  Rule 321 - Formation or Acquisition of Subsidiaries

Operation of Member Organizations

  Rule 342 - Compliance Supervisors
  Rule 345 - Employees—Registration, Approval, Records
  Rule 351 - Reporting Requirements
  Rule 405 - Diligence as to Accounts
  Rule 407 - Transactions - Employees of Members, Member Organizations and the Exchange
  Rule 408 - Discretionary Power in Customers' Accounts
  Rule 410 - Records of Orders
  Rule 416A - Member And Member Organization Profile Information Updates And Quarterly Certifications Via The Electronic Filing Platform

Communications with the Public

  Rule 472 - Communications With The Public

Disciplinary Rules (Legacy)

  Rule 476A - Imposition of Fines for Minor Violation(s) of Rules

Conduct Rules

  Rule 2210 - Communications with the Public
  Rule 3110 - Supervision
  Rule 3120 - Supervisory Control System
  Rule 3150 - Holding of Customer Mail
  Rule 3170 - Tape Recording of Registered Persons by Certain Firms

Disciplinary Rules (Procedural)

  Rule 9217 - Violations Appropriate for Disposition Under Plan Pursuant to SEA Rule 19d-1(c)(2)
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