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The Rules of the NYSE.

What's New - November 2008

NYSE Rules

General Rules

Rule 2 - Rule 2 amended, "Member", "Membership", "Member Firm", etc.

Rule 2A - Rule 2A amended, Jurisdiction

Rule 2B - Rule 2B amended, Affiliation between Exchange and a Member Organization

Rule 13 - Rule 13 amended, Definition of Orders

Rule 17 - Rule 17 amended, Use of Exchange Facilities

Rule 18 - Rule 18 amended, Compensation in Relation to Exchange System Failure

Dealings and Settlements

Rule 48 - Rule 48 amended, Exemptive Relief-Extreme Market Volatility Condition

Rule 86 - Rule 86 amended, NYSE Bonds

Rule 103A - Rule 103A amended, Member Education

Rule 103B - Rule 103B amended, Security Allocation and Reallocation

Rule 104T - Rule 104T amended, Dealings by DMMs

Rule 104 - Rule 104 amended, Dealings by Specialists

Rule 107B - Rule 107B amended, Supplemental Liquidity Providers

Rule 123B - Rule 123B amended, Exchange Automated Order Routing System

Rule 123D - Rule 123D amended, Openings and Halts in Trading

Rule 123E - Rule 123E amended, DMM Combination Review Policy

Rule 134 - Rule 134 amended, Differences and Omissions-Cleared Transactions

Rule 282 - Rule 282 amended, Buy-In Procedures

Admission of Members

Rule 300 - Rule 300 amended, Trading Licenses

Rule 304A - Rule 304A amended, Member and Allied Member Examination Requirements

Rule 311 - Rule 311 amended, Formation and Approval of Member Organizations

Rule 312 - Rule 312 amended, Changes Within Member Organizations

Rule 313 - Rule 313 amended, Submission of Partnership Articles-Submission of Corporate Documents

Rule 321 - Rule 321 amended, Formation or Acquisition of Subsidiaries

Operation of Member Organizations

Rule 342 - Rule 342 amended, Approval, Supervision and Control

Rule 345 - Rule 345 amended, Employees-Registration, Approval, Records

Rule 345A - Rule 345A amended, Continuing Education for Registered Persons

Rule 346 - Rule 346 amended, Limitations-Employment and Association with Member and Member Organizations

Rule 351 - Rule 351 amended, Reporting Requirements

Rule 352 - Rule 352 amended, Guarantees, Sharing in Accounts, and Loan Arrangements

Rule 353 - Rule 353 amended, Rebates and Compensation

Rule 354 - Rule 354 amended, Reports to Control Persons

Rule 401 - Rule 401 amended, Business Conduct

Rule 404 - Rule 404 amended, Individual Members Not to Carry Accounts

Rule 405 - Rule 405 amended, Diligence as to Accounts

Rule 407 - Rule 407 amended, Transactions-Employees of Members, Member Organizations and the Exchange

Rule 408 - Rule 408 amended, Discretionary Power in Customers Accounts

Rule 409 - Rule 409 amended, Statements of Accounts to Customers

Rule 410 - Rule 410 amended, Records of Orders

Rule 412 - Rule 412 amended, Customer Account Transfer Contracts

Rule 414 - Rule 414 amended, Index and Currency Warrants

Rule 424 - Rule 424 amended, Reports of Options

Rule 431 - Rule 431 amended, Margin Requirements

Rule 435 - Rule 435 amended, Miscellaneous Prohibitions

Rule 440F - Rule 440F amended, Public Short Sale Transactions Effected on the Exchange

Rule 440G - Rule 440G amended, Transactions in Stocks and Warrants for the Accounts of Members, Principal Executives and Member Organizations

Rule 446 - Rule 446 amended, Business Continuity and Contingency Plans

Disciplinary Rules

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

Rule 477 - Rule 477 amended, Retention of Jurisdiction-Failure to Cooperate

Option Rules

Rule 704 - Rule 704 amended, Position Limits

Rule 705 - Rule 705 amended, Exercise Limits

Rule 723 - Rule 723 amended, Suitability

Rule 724 - Rule 724 amended, Discretionary Accounts

Rule 791 - Rule 791 amended, Communications to Customers

NYSE Direct+®

Rule 902 - Rule 902 amended, Off-Hours Trading Orders

Rule 1000 - Rule 1000 amended, Automatic Execution of Limit Orders Against Orders Reflected in NYSE Published Quotation


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