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")

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Date Received
Date Letter Type Commenter Name
Public Comment John Polanin Jr., Chairman, Self-Regulation and Supervisory Practices Committee, Securities Industry Association
Public Comment Christopher R. Franke, Chairman, Self-Regulation and Supervisory Practices Committee, Securities Industry Association

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NYSE-2002-36
Release Number
34-46858
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