About the NYSE Rules

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NYSE Rules

General Rules

  Rule 2B - Affiliation Between Exchange and a Member Organization

  Rule 18 - Compensation in Relation to Exchange System Failure

Dealings and Settlements

  Rule 62 - Variations

  Rule 70 - Execution of Floor Broker Interest

  Rule 72 - Priority of Bids and Offers and Allocation of Executions

  Rule 104 - Dealings and Responsibilities of DMMs

  Rule 107B - Supplemental Liquidity Providers

  Rule 123C - Market on the Close Policy and Expiration Procedures

Admission of Members

  Rule 312 - Changes Within Member Organizations

  Rule 321 - Formation or Acquisition of Subsidiaries

Operation of Member Organizations

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

  Rule 451 - Transmission of Proxy Material

NYSE Direct+®

  Rule 1000 - Automatic Executions

New York Block Exchange

  Rule 1600 - New York Block Exchange

Conduct Rules

  Rule 2150 - Improper Use of Customers’ Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts

  Rule 2262 - Disclosure of Control Relationship with Issuer

  Rule 2269 - Disclosure of Participation or Interest in Primary or Secondary Distribution

  Rule 3310 - Anti-Money Laundering Compliance Program