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Regulatory Release

Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. To Adopt Rule 405A ("Non-Managed Fee-Based Account Programs-Disclosure and Monitoring")

Details

Rule Type

Notice

Release Number

34-50586

SEC Issue Date

Oct. 25, 2004 | 3:02 pm ET

Federal Register Publish Date

Nov. 1, 2004 | 11:56 pm ET

Document Citation

69 FR 63424

Resources

Rel. No. 34-50586

Federal Register Version

SRO Organization

New York Stock Exchange LLC (NYSE)

Last Reviewed or Updated: Dec. 29, 2025

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. To Adopt Rule 405A ("Non-Managed Fee-Based Account Programs-Disclosure and Monitoring")

Details

Resources

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Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the New York Stock Exchange, Inc. To Adopt Rule 405A ("Non-Managed Fee-Based Account Programs-Disclosure and Monitoring")

Details

Resources