Rule 414. Index and Currency Warrants
This rule is no longer applicable effective February 17, 2009.
Rule 413. Uniform Forms
This rule is no longer applicable.
Every individual member and every member organization shall adopt such uniform forms as the Exchange may prescribe to facilitate the orderly flow of transactions within financial community.
| Adopted. February 3, 1973. |
Rule 412. Customer Account Transfer Contracts
This rule is no longer applicable effective November 11, 2008.
Rule 411. Erroneous Reports
This rule is no longer applicable.
Rule 410. Records of Orders
This rule is no longer applicable. Incorporated NYSE Rule 410 has been superseded by FINRA Rule 4510 Series. Please consult the appropriate FINRA Rule.
Rule 409A. SIPC Disclosures
This rule is no longer applicable effective August 17, 2009.
Rule 409. Statements of Accounts to Customers
This rule is no longer applicable. Incorporated NYSE Rule Interpretations have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
Rule 407. Transactions—Employees of Members, Member Organizations and the Exchange
This rule is no longer applicable. Incorporated NYSE Rule 407 has been superseded by FINRA Rule 3210. Please consult the appropriate FINRA Rule.
Rule 406. Designation of Accounts
This rule is no longer applicable. Incorporated NYSE Rule 406 has been superseded by FINRA Rule 3250. Please consult the appropriate FINRA Rule.
No member organization shall carry an account on its books in the name of a person other than that of the customer, except that an account may be designated by a number or symbol, provided the organization has on file a written statement signed by the customer attesting the ownership of such account.