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2000. BUSINESS CONDUCT


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Contents:
2100. GENERAL STANDARDS
2200. COMMUNICATIONS WITH CUSTOMERS AND THE PUBLIC
2310. Recommendations to Customers (Suitability)
2315. Recommendations to Customers in OTC Equity Securities
2320. Best Execution and Interpositioning
2330. Customers' Securities or Funds
2341. Margin Disclosure Statement
2342. SIPC Information
2350. Broker/Dealer Conduct on the Premises of Financial Institutions
2360. Approval Procedures for Day-Trading Accounts
2361. Day-Trading Risk Disclosure Statement
2370. Borrowing From or Lending to Customers
2430. Charges for Services Performed
2410. Net Prices to Persons Not in Investment Banking or Securities Business
2420. Dealing with Non-Members
2440. Fair Prices and Commissions
2441. Net Transactions with Customers
2450. Installment or Partial Sales
2460. Payments for Market Making
2520. Margin Requirements
2710. Corporate Financing Rule — Underwriting Terms and Arrangements
2711. Research Analysts and Research Reports
2720. Public Offerings of Securities With Conflicts of Interest
2730. Securities Taken in Trade
2740. Selling Concessions, Discounts and Other Allowances
2750. Transactions with Related Persons
2760. Offerings 'At the Market'
2770. Disclosure of Price in Selling Agreements
2780. Solicitation of Purchases on an Exchange to Facilitate a Distribution of Securities
2790. Restrictions on the Purchase and Sale of Initial Equity Public Offerings
2800. SPECIAL PRODUCTS
2900. RESPONSIBILITIES TO OTHER BROKERS OR DEALERS