| FINRA.org

Rule 446. Business Continuity and Contingency Plans

This rule is no longer applicable effective November 11, 2008.

Rule 445. Anti-Money Laundering Compliance Program

This rule is no longer applicable effective January 1, 2010.

Rule 440I. Records of Compensation Arrangements—Floor Brokerage

This rule is no longer applicable effective August 17, 2009.

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

This rule is no longer applicable effective December 15, 2008.

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

Reports on Form 121

Rule 440A. Telephone Solicitation

This rule is no longer applicable. Incorporated NYSE Rule 440A has been superseded by FINRA Rule 3230. Please consult the appropriate FINRA Rule.

Rule 440. Books and Records

This rule is no longer applicable.

Every member not associated with a member organization and every member organization shall make and preserve books and records as the Exchange may prescribe and as prescribed by Rule 17a-3. The recordkeeping format, medium and retention period shall comply with Rule 17a-4 under the Securities Exchange Act of 1934.

Rule 436. Interest on Credit Balances

This rule is no longer applicable effective November 11, 2008.

Rule 435. Miscellaneous Prohibitions

This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.

No member, member organization, or allied member therein shall: