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
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
11111, Refusal to Abide by Rulings of the Committee
IM-12000, Failure to Act Under Provisions of Code of Arbitration Procedure for Customer Disputes
IM-13000, Failure to Act Under Provisions of Code of Arbitration Procedure for Industry Disputes
1122, Filing of Misleading Information as to Membership or Registration
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
11111, Refusal to Abide by Rulings of the Committee
IM-12000, Failure to Act Under Provisions of Code of Arbitration Procedure for Customer Disputes
IM-13000, Failure to Act Under Provisions of Code of Arbitration Procedure for Industry Disputes
| 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. |
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