View Whole SectionText only Print Print Manager Link
Previous Next

Rule 435(5)T Circulation of Rumors

/01 Responsibility of Personnel
Rule 435(5)T, which prohibits the circulation of rumors, extends personal responsibility for its observation to all member organization personnel. Those who service accounts, those who are handling the member organization's long distance wires and those on the trading desks must in particular exercise a high degree of individual responsibility as their conversations are less likely to receive the same degree of supervisory oversight as written messages.
Amended by SR-FINRA-2019-009 eff. May 8, 2019.

Previous Next