Retired Rules | FINRA.org

PART VIII SIMPLIFIED ARBITRATION; DEFAULT PROCEEDINGS; SEXUAL ASSAULT CLAIMS, SEXUAL HARASSMENT CLAIMS, OR STATUTORY EMPLOYMENT DISCRIMINATION CLAIMS; AND INJUNCTIVE RELIEF

13800. Simplified Arbitration

13801. Default Proceedings

13802. Statutory Employment Discrimination Claims

13803. Coordination of Statutory Employment Discrimination Claims Filed in Court and in Arbitration

13804. Temporary Injunctive Orders; Requests for Permanent Injunctive Relief

13805. Expungement of Customer Dispute Information under Rule 2130

PART IX FEES AND AWARDS

13900. Fees Due When a Claim Is Filed

13901. Member Surcharge

13902. Hearing Session Fees, and Other Costs and Expenses

13903. Process Fees Paid by Members

13904. Awards

13905. Submissions After a Case Has Closed

14000. NASD CODE OF MEDIATION PROCEDURE

14100. Definitions

14101. Applicability of Code

14102. National Arbitration and Mediation Committee

14103. Director of Mediation

14104. Mediation under the Code

14105. Effect of Mediation on Arbitration Proceedings

14106. Representation of Parties

14107. Mediator Selection

14108. Limitation on Liability

14109. Mediation Ground Rules

14110. Mediation Fees

Retired Incorporated NYSE Rules

General Rules (Rules 1-38)

Definitions of Terms (Rules 1–19)

Rule 1. "The Exchange"

Rule 2. "Member," "Membership," "Member Firm," etc.

Rule 2A. Jurisdiction

Rule 2B. No Affiliation between Exchange and any Member Organization

Rule 3. "Security"

Rule 4. "Stock"

Rule 5. "Bond"

Rule 6. "Floor"

Rule 8. "Delivery"

Rule 9. "Branch Office Manager"

Rule 10. "Registered Representative"

Rule 11. Effect of Definitions

Rule 12. "Business Day"

Dealings and Settlements (Rules 45-299C)

Comparisons and Exchange of Contracts (Rules 130-143)

Rule 134. Differences and Omissions-Cleared Transactions

Settlement of Contracts (Rules 175-227)

Rule 176. Delivery Time

Rule 180. Failure to Deliver

Closing Contracts (Rules 280-295)

Rule 282. Buy-in Procedures

Rule 283. Members Closing Contracts—Procedure

Rule 285. Notice of Intention to Successive Parties

Rule 286. Closing Portion of Contract

Rule 287. Liability of Succeeding Parties

Rule 288. Notice of Closing to Successive Parties

Rule 289. Must Receive Delivery

Rule 290. Defaulting Party May Deliver After "Buy-In" Notice

Rule 291. Failure to Fulfill Closing Contract

Rule 292. Restrictions on Members' Participation in Transaction to Close Defaulted Contracts

Rule 293. Closing Contracts in Suspended Securities

Rule 294. Default in Loan of Money

Liquidation of Securities Loans and Borrowings (Rule 296)

Rule 296. Liquidation of Securities Loans and Borrowings

Admission of Members (Rules 300–324)

Partnerships—Corporations (Rules 311–324)

Rule 311. Formation and Approval of Member Organizations

Rule 312. Changes Within Member Organizations

Rule 313. Submission of Partnership Articles—Submission of Corporate Documents

Rule 319. Fidelity Bonds

Rule 321. Formation or Acquisition of Subsidiaries

Rule 322. Guarantees by, or Flow Through Benefits for Members or Member Organizations

Operation of Member Organizations (Rules 325-465)

Capital Requirements (Rules 325-328)

Rule 325. Capital Requirements Member Organizations

Rule 326(a). Growth Capital Requirement

Rule 326(b). Business Reduction Capital Requirement

Rule 326(c). Unsecured Loans and Advances

Rule 326(d). Reduction of Elimination of Loans and Advances

Rule 328. Sale-And-Leasebacks, Factoring, Financing and Similar Arrangements

Offices and Employees (Rules 341-354)

Rule 342. Offices—Approval, Supervision and Control

Rule 343. Offices—Sole Tenancy, and Hours

Rule 344. Research Analysts and Supervisory Analysts

Rule 345. Employees—Registration, Approval, Records

Rule 346. Limitations—Employment and Association with Members and Member Organizations

Rule 350. Compensation or Gratuities to Employees of Others

Rule 351. Reporting Requirements

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

Rule 353. Rebates and Compensation

Rule 354. Reports to Control Persons

Commissions (Rules 365-390)

Rule 375. Missing the Market

Rule 382. Carrying Agreements

Rule 387. COD Orders

Special Offerings, Exchange, and Secondary Distribution (Rules 391-396)

Rule 392. Notification Requirements for Offerings of Listed Securities

Conduct of Accounts (Rules 401-414)

Rule 401. Business Conduct

Rule 401A. Customer Complaints

Rule 402. Customer Protection—Reserves and Custody of Securities

Rule 404. Individual Members Not to Carry Accounts

Rule 405. Diligence as to Accounts

Rule 405A. Non-Managed Fee-Based Account Programs—Disclosure and Monitoring

Rule 406. Designation of Accounts

Rule 407. Transactions—Employees of Members, Member Organizations and the Exchange

Rule 407A. Disclosure of All Member Accounts

Rule 408. Discretionary Power in Customers' Accounts

Rule 409. Statements of Accounts to Customers

Rule 409A. SIPC Disclosures

Rule 410. Records of Orders

Rule 411. Erroneous Reports

Rule 412. Customer Account Transfer Contracts

Rule 413. Uniform Forms

Rule 414. Index and Currency Warrants

Financial Statements and Reports (Rules 415-425)

Rule 416. Questionnaires and Reports

Rule 416A. Member And Member Organization Profile Information Updates And Quarterly Certifications Via The Electronic Filing Platform

Rule 418. Audit

Rule 420. Reports of Borrowings and Subordinate Loans For Capital Purposes

Rule 421. Periodic Reports

Rule 424. Reports of Options

Margins (Rules 430-434)

Rule 430. Partial Delivery of Securities to Customers on C.O.D. Purchases

Rule 431. Margin Requirements

Rule 432. Daily Record of Required Margin

Rule 434. Required Submission of Requests for Extensions of Time for Customers

Miscellaneous Rules and Provisions (Rules 435-440K)

Rule 435. Miscellaneous Prohibitions

Rule 436. Interest on Credit Balances

Rule 440. Books and Records

Rule 440A. Telephone Solicitation

Rule 440F. Public Short Sale Transactions Effected on the Exchange

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

Rule 440I. Records of Compensation Arrangements—Floor Brokerage

Rule 445. Anti-Money Laundering Compliance Program

Rule 446. Business Continuity and Contingency Plans

Communications with the Public (Rules 471–474B)

Rule 472. Communications With The Public

Disciplinary Rules (Rules 475-477)

Rule 477. Retention of Jurisdiction—Failure to Cooperate

Options Rules (Rules 700-794)

Rule 700. Applicability, Definitions and References

Rule 704. Position Limits

Rule 705. Exercise Limits

Rule 707. Liquidation of Positions

Rule 709. Other Restrictions on Exchange Option Transactions and Exercises

Rule 720. Registration of Options Principals

Rule 721. Opening of Accounts

Rule 722. Supervision of Accounts

Rule 723. Suitability

Rule 724. Discretionary Accounts

Rule 725. Confirmations

Rule 726. Delivery of Options Disclosure Document and Prospectus

Rule 727. Transactions with Issuers

Rule 728. Restricted Stock

Rule 730. Statement of Accounts

Rule 732. Customer Complaints

Rule 780. Exercise of Option Contracts

Rule 781. Allocation of Exercise Assignment Notices

Rule 791. Communications to Customers

Retired Incorporated NYSE Rule Interpretations

Rule 10 "Registered Representative"

Rule 296 Liquidation of Securities Loans and Borrowings

Rule 311 Formation and Approval of Member Organizations

Rule 313 Submission of Partnership Articles Submission of Corporate Documents

Rule 319 Fidelity Bonds

Rule 325 Capital Requirements

Rule 342 Offices — Approval, Supervision and Control

Rule 343 Offices — Sole Tenancy, Hours, Display of Membership Certificates

Rule 344 Research Analysts and Supervisory Analysts

Rule 345 Employees — Registration, Approval, Records

Rule 346 Limitations — Employment and Association with Member Organizations

Rule 350 Compensation or Gratuities to Employees of Others

Rule 351 Reporting Requirements

Rule 382 Carrying Agreements

Rule 375 Missing the Market

Rule 387 COD Orders

Rule 401 Business Conduct

Rule 402 Customer Protection — Reserves and Custody of Securities

Rule 405 Diligence as to Accounts

Rule 407 Transactions — Employees of Member Organizations and the Exchange

Rule 408 Discretionary Power in Customers' Accounts

Rule 409 Statements of Accounts to Customers

Rule 410 Records of Orders

Rule 412 Customer Account Transfer Contracts

Rule 416 Questionnaires and Reports

Rule 430 Partial Delivery of Securities to Customers on C.O.D. Purchases

Rule 431 Margin Requirements

Rule 435(5) Circulation of Rumors

Rule 436 Interest on Credit Balance

Rule 440.20 Suspense Accounts

Rule 440A Telephone Solicitation

Rule 472 Communications with the Public

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