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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–

    1122, Filing of Misleading Information as to Membership or Registration
    IM-1000-3, Failure to Register Personnel
    2111, Suitability
    2121.01, Mark-Up Policy
    2342, "Breakpoint" Sales
    5130, Restrictions on the Purchase and Sale of Initial Equity Public Offerings
    5210, Publication of Transactions and Quotations
    5220, Offers at stated Prices
    5270, Front Running of Block Transactions
    5320. Prohibition Against Trading Ahead of Customer Orders
    IM-10100, Failure to Act Under Provisions of Code of Arbitration Procedure
    IM-11110, Refusal to Abide by Rulings of the Committee

    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.