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U.S. Securities and Exchange Commission

NYSE Rulemaking:
Correction to Release 34-46858; File No. SR-NYSE-2002-36

Securities and Exchange Commission
(Release No. 34-46858A; File No. SR-NYSE-2002-36)

November 27, 2002

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. to Adopt 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")


In Release No. 34-46858, issued on November 20, 2002, a portion of the rule text for New York Stock Exchange Rule 401 was noticed incorrectly. The corrected text appears below. Additions are in italics.

* * * * *

Business Conduct

Rule 401. (a) - (b) no change.

The policies and procedures required under (b)(1), (b)(2), and (b)(3) above must include a means/method of customer confirmation, notification, or follow-up that can be documented.

* * * * *

For the Commission, by the Division of Market Regulation, pursuant to delegated authority.1

Margaret H. McFarland
Deputy Secretary


1 17 CFR 200.30-3(a)(12).



Modified: 12/27/2002