Order Rule

Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc., To Adopt New Rule 401A ("Customer Complaints"), and an Amendment to Rule 476A ("Imposition of Fines for Minor Violations of Rules"), Adding Rule 401A to the List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A

National Securities Exchanges, New York Stock Exchange LLC (NYSE)

Title
Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc., To Adopt New Rule 401A ("Customer Complaints"), and an Amendment to Rule 476A ("Imposition of Fines for Minor Violations of Rules"), Adding Rule 401A to the List of Exchange Ru
Release Number
34-51276
SEC Issue Date
Federal Register Publish Date
Document Citation

70 FR 11040

Resources

Notice Rule: SEC Issued Version (pdf 123.78 KB)
Notice Rule: Federal Register Version
Rel. No. 34-51539

Last Reviewed or Updated: Feb. 28, 2005