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All NYSE exchanges are registered securities exchanges, and are subject to the regulatory oversight of the SEC. All rules and rule amendments filed and approved by the SEC pursuant to Section 19(b) of the Securities and Exchange Act of 1934 and Rule 19b-4 thereafter.
- NYSE Regulation | Other Rule Filings Incorporated By Reference
NYSE American Rule 7440 - Equities (Recording of Order...
- The New York Stock Exchange | NYSE
The New York Stock Exchange | NYSE
- NYSE Regulation | Other Rule Filings Incorporated By Reference
New FINRA Rule 3210 replaces NASD Rule 3050, Incorporated NYSE Rules 407 and 407A and Incorporated NYSE Rule Interpretations 407/01 and 407/02. The rule change takes effect on April 3, 2017. Sound supervisory practices require that a member firm monitor personal accounts opened or established outside of the firm by its associated persons.
The New York Stock Exchange | NYSE
The purpose of NYSE Rule 407 is similar to the purpose of FINRA Rule 3050 ± to provide member firms information about transactions effected by their associated persons in accounts established outside their firm .
Incorporated NYSE Rule 407 has been superseded by FINRA Rule 3210. Please consult the appropriate FINRA Rule. (a) No member or member organization shall, without the prior written consent of the employer, open a securities or commodities account or execute any transaction in which a member or employee associated with another member or member ...
24 maj 2024 · Rule 407 is now superseded by Rule 3210 in the United States Securities market. What is FINRA Rule 3210? Rule 407, under NYSE, was a law that required a letter for FINRA registered representatives allowing the employee to hold investments in equities or bonds in personal accounts.
the corresponding provisions of FINRA Incorporated NYSE Rules 407(a) and 407.10 (Transactions – Employees of Members, Member Organizations and the Exchange) and 9 NYSE Amex LLC has filed a companion rule filing to conform its Equities Rules
