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NYSE Information Memo 01-49
Exchange Guidelines on Gifts and Gratuities
12/19/2001
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SEC Release
NYSE Rulemaking: Self-Regulatory Organizations; Order Approving a Proposed Rule Change by the New York Stock Exchange, Inc., Establishing the Fees for NYSE OpenBookTM
12/12/2001
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AMEX Notice
Gratuities - Rules 347 and 417
12/7/2001
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SEC Final Rule
Investment Company Names
12/4/2001
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SEC Notice
Frequently Asked Questions about Rule 35d-1 (Investment Company Names)
12/4/2001
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NYSE Information Memo 01-44
CRD Fees for NYSE-Only Members and Member Organizations
12/3/2001
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NASD Notice to Members 01-78
Quarterly Disciplinary Update
12/1/2001
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NASD Notice to Members 01-80
Books and Records Rules
12/1/2001
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NYSE Information Memo 01-40
Continuing Education - Firm Element Advisory
11/21/2001
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NYSE Information Memo 01-42
Additions to the List of Rules Subject to the Imposition of Fines for Minor Violations Under Rule 476A Procedures
11/21/2001
Industry News
