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FINRA Manual
Corporate Organization
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2010. Standards of Commercial Honor and Principles of Trade
A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.
Cross References–
IM-1000-1, Filing of Misleading Information as to Membership or Registration
IM-1000-3, Failure to Register Personnel
5130, Restrictions on the Purchase and Sale of Initial Equity Public Offerings
IM-2110-2, Trading Ahead of Customer Limit Order
IM-2110-3, Front Running Policy
IM-2310-2, Fair Dealing with Customers
IM-2440-1, Mark-Up Policy
IM-2830-1, "Breakpoint" Sales
IM-3310, Manipulative and Deceptive Quotations
IM-3320, Firmness of Quotations
IM-10100, Failure to Act Under Provisions of Code of Arbitration Procedure
IM-11110, Refusal to Abide by Rulings of the Committee
IM-1000-1, Filing of Misleading Information as to Membership or Registration
IM-1000-3, Failure to Register Personnel
5130, Restrictions on the Purchase and Sale of Initial Equity Public Offerings
IM-2110-2, Trading Ahead of Customer Limit Order
IM-2110-3, Front Running Policy
IM-2310-2, Fair Dealing with Customers
IM-2440-1, Mark-Up Policy
IM-2830-1, "Breakpoint" Sales
IM-3310, Manipulative and Deceptive Quotations
IM-3320, Firmness of Quotations
IM-10100, Failure to Act Under Provisions of Code of Arbitration Procedure
IM-11110, Refusal to Abide by Rulings of the Committee
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Amended by SR-FINRA-2008-028 eff. Dec. 15, 2008. Amended by SR-NASD-2005-087 eff. Aug. 1, 2006 Selected Notices: 96-44, 08-57. |
