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Comments on NYSE Rulemaking

Amendments to Exchange Rule 342 ("Offices - Approval, Supervision and Control") and its Interpretation, Rule 401 ("Business Conduct"), Rule 408 ("Discretionary Power in Customers' Accounts"), and Rule 410 ("Records of Orders")

(Release No. 34-46858; File No. SR-NYSE-2002-36)

  • Comments of John Polanin Jr., Chairman, Self-Regulation and Supervisory Practices Committee, Securities Industry Association, October 3, 2003 (File name: sia100303.htm)

  • Comments of Christopher R. Franke, Chairman, Self-Regulation and Supervisory Practices Committee, Securities Industry Association, December 18, 2002 (File name: crfranke1.htm)

 

http://www.sec.gov/rules/sro/nyse200236.shtml


Modified: 10/14/2003