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  Rule 123

Rule 123. Record of Orders

(a) Given Out

Every member shall preserve for at least three years a record of every order originated by him on the Floor and given to another member for execution and of every commitment or obligation to trade issued from the Floor through ITS or any other Application of the System, and of every order originating off the Floor, transmitted by any person other than a member or member organization, to such member on the Floor, which record shall include the name and amount of the security, the terms of the order and the time when such order was so given or transmitted; provided, however, that the Exchange may, upon application, grant exemptions from the provisions of this Rule.

(b) Receipt of Orders

Every member shall preserve for at least three years a record of every order received by that member on the Floor from off the Floor. Such record shall include the name and amount of the security, the terms of the order and the time when such order was received. The provisions of this paragraph shall not apply to orders in NYSE listed securities initiated and/or routed from a member organization's booth premise operating pursuant to Exchange Rule 70.40 for execution on another market center. Orders initiated and/or routed from a member organization's booth premise operating pursuant to Exchange Rule 70.40 for execution on another market center must comply with the provisions of the 7400 Series.

(c) Cancelled or Executed

Whenever a cancellation is entered with respect to such an order or commitment or obligation to trade, or a report of the execution of such an order or commitment or obligation to trade, is received, there shall be preserved for at least three years, in addition to the record required by the foregoing paragraph, a record of the cancellation of the order or of the receipt of such report, which shall include the time of the entry of such cancellation or of the receipt of such report.

(d) By Accounts

Before any such order is executed, including the case where an order is to be executed by the issuance from the Floor of a commitment or obligation to trade through ITS or any other Application of the System, there shall be placed upon the order slip or other record the name or designation of the account for which such order is to be executed. No change in such account name or designation shall be made unless the change has been authorized by any member, allied member or officer in the member organization or authorized representative thereof who shall, prior to giving his approval of such change, be personally informed of the essential facts relative thereto and shall indicate his approval of such change in writing on the order.

(e) System Entry Required

(i) Except as provided in paragraphs .21 and .22 below, immediately following the receipt of an order in an NYSE listed security on the Floor, members and member organizations must record the details of the order in an electronic system on the Floor. Any member organization proprietary system used to record the details of the order and agency interest file must be capable of transmitting these details to a designated Exchange data base within such time frame as the Exchange may prescribe. No Floor member or member organization shall represent, execute or place an agency interest file within the Display Book system or routed to a Floor broker for execution at the post unless the details of the order have been entered into an electronic system on the Floor.

(ii) Member organizations operating an approved booth premises pursuant to Exchange Rule 70.40 are only subject to the provisions of subparagraph (i) above when the order received or any part thereof in a member organization's approved booth premise is to be represented, executed or placed in an agency interest file within the Display Book System or routed to a Floor broker for execution at the post.

(iii) The details of each order required to be recorded by paragraphs (i) and (ii) above shall include the following data elements, any changes in the terms of the order and cancellations, in such form as the Exchange may from time to time prescribe:

1. Symbol;

2. Clearing member organization;

3. Order identifier that uniquely identifies order

4. Identification of member or member organization recording order details;

5. Number of shares or quantity of security;

6. Side of market;

7. Designation as market, auction market, limit, stop, or auction limit order;

8. Any limit price, stop price, discretionary price range, discretionary volume range, discretionary quote price, pegging ceiling price, pegging floor price and/or whether discretionary instructions are active in connection with interest displayed by other market centers;

9. Time in force;

10. Designation as held or not held;

11. Any special conditions;

12. System-generated time of recording order details, modification of terms of order or cancellation of order; and

13. Such other information as the Exchange may from time to time require.

(iv) The Floor member must identify which orders or portions thereof are being made part of the Floor broker agency interest file and, with respect to such orders or portions thereof, what discretionary and/or pegging instructions, if any, have been assigned pursuant to such procedures as required by the Exchange.

(f) Reports of Order Executions

Order execution reports must be entered into the same database as required by this rule for the entry of orders. Any member organization proprietary system used to record the details of an order pursuant to paragraph (e) must also be capable of transmitting a report of the order's execution to such database. Order execution reports must be entered into such system within such time frame as the Exchange may prescribe. The details of each execution report required to be recorded shall include the following data elements, and any modifications to the report, in such form as the Exchange may from time to time prescribe:

1. Order identifier that uniquely identifies the order as required by paragraph (e);

2. Symbol;

3. Number of shares or quantity of security;

4. Transaction price;

5. Time the trade was executed;

6. Executing broker badge number, or alpha symbol as may be used from time to time, in regard to its side of the contract;

7. Executing broker badge number, or alpha symbol as may be used from time to time, of the contra side to the contract;

8. Clearing firm number, or alpha symbol as may be used from time to time, in regard to its side of the contract;

9. Clearing firm number, or alpha symbol as may be used from time to time, in regard to the contra side of the contract;

10. Whether the account for which the order was executed was that of a member or member organization or of a non-member or non-member organization;

11. Identification of member or member organization which recorded order details as required by paragraph (e);

12. Date the order was entered into an Exchange system;

13. Indication as to whether this is a modification to a previously submitted report;

14. Settlement Instructions (e.g., cash, next day, or seller's option as defined in Rule 14);

15. Special Trade Indication, if applicable;

16. Online Comparison System (OCS) Control Number;

17. Such other information as the Exchange may from time to time require.

Reserved

• • • Supplementary Material: ------------------

.10 Orders originated on or transmitted to the Floor.—When giving out orders originating on the Floor, or transmitted by any person other than a member or member organization to members on the Floor, or when changing or cancelling orders previously given, members are required to do so electronically, or in writing. This requirement, as well the requirement as provided in Rule 123, above, relating to the keeping of records, may be met by preparing and retaining a duplicate of each such order given out and of any subsequent changes.

.20 Orders.—For purposes of paragraph (e), an order shall be any written, oral or electronic instruction to effect a transaction.

.21 Orders not subject to paragraph (e) recording requirements.—Any order executed by a DMM for his or her own account and any orders which by their terms are incompatible for entry in an Exchange system relied on by a Floor member to record the details of the order in compliance with this Rule shall be exempt from the order entry requirements of paragraph (e) above.

.22 With respect to a bona fide arbitrage order, a member may execute such order before entering the order into an electronic system as required by paragraph (e) above, but such member must enter such order into such electronic system no later than 60 seconds after the execution of such order. With respect to an order to offset a transaction made in error, a member may, upon discovering such error within the same trading session, effect an offsetting transaction without first entering such order into an electronic system, but such member must enter such order into such electronic system no later than 60 seconds after the execution of such order.

.23 Time standards.—Any vendor or proprietary system used by a member or member organization on the Floor to record the details of an order or report for purposes of this rule must be synchronized with reference to a time source as designated by the Exchange.

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Amended: May 18, 1972; November 23, 1977; August 11, 1978; September 26, 1989; December 7, 2000, effective September 10, 2001 (NYSE-98-25); October 16, 2001, effective October 8, 2001 (NYSE-01-39); January 7, 2002, effective December 20, 2001 (NYSE-01-52); April 11, 2003 (NYSE-03-09); April 17, 2003, effective October 17, 2003 (NYSE-99-51); September 9, 2004 (NYSE-2004-06); December 14, 2005 (NYSE-2005-87); March 22, 2006 (NYSE-2004-05); October 5, 2006 (NYSE-2006-36); October 5, 2006 (NYSE-2006-82); November 27, 2006 (NYSE-2006-65); December 1, 2006 (NYSE-2006-76); June 14, 2007 (NYSE-2007-51); October 24, 2008 (NYSE-2008-46); December 10, 2008 (NYSE-2008-127); February 25, 2009 (NYSE-2009-17); July 1, 2009 (NYSE-2009-59); July 21, 2009 (NYSE-2009-08); October 7, 2011 (NYSE-2011-49).