NYSE Rules

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The Rules of the NYSE.

What's New - July 2009

NYSE Rules

General Rules

Rule 13 - Rule 13 amended, Definitions of Orders

Rule 15 - Rule 15 amended, Pre-Opening Indications

Dealings and Settlements

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

Rule 124 - Rule 124 amended, Odd-Lot Orders

Operation of Member Organizations

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

Rule 401 - Rule 401 amended, Business Conduct

Rule 421 - Rule 421 amended, Periodic Reports

Rule 435 - Rule 435 amended, Miscellaneous Prohibitions

Communications With the Public

Rule 472 - Rule 472 amended, Communications With the Public

Disciplinary Rules

Rule 476 - Rule 476 amended, Disciplinary Proceedings Involving Charges Against Members, Member Organizations, Allied Members, Approved Persons, Employees, or Others

NYSE MatchPoint ^SM

New York Block Exchange

Rule 2010 - Rule 2010 amended, Standards of Commercial Honor and Principles of Trade

Rule 2020 - Rule 2020 amended, Use of Manipulative, Deceptive or Other Fraudulent Devices

Rule 2070 - Rule 2070 amended, Transactions Involving Exchange Employees

Rule 3130 - Rule 3130 amended, Annual Certification of Compliance and Supervisory Processes

Rule 3220 - Rule 3220 amended, Influencing or Rewarding Employees of Others

Rule 4560 - Rule 4560 amended, Short-Interest Reporting

Rule 5190 - Rule 5190 amended, Notification Requirements for Offering Participants

Rule 6140 - Rule 6140 amended, Other Trading Practices


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