2281. Trade names

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    1. In Part E  of Rule 2200, the term “trade name” means a name a Dealer Member or Approved Person uses to conduct business and  includes a group name under which a Dealer Member and its affiliates conduct business.

    2. If a Dealer Member carries on business under a trade name, the trade name must be owned by the Dealer Member, an Approved Person of the Dealer Member or an affiliate of the Dealer Member.

    3. An Approved Person must not conduct any business under a trade name that is not owned by the Dealer Member or its affiliate without the Dealer Member’s prior consent.

    4. A Dealer Member or Approved Person must not use a trade name that any other Dealer Member uses unless: 

      1. the Dealer Members are related companies or affiliate companies, or

      2. the relationship with the other Dealer Member is that of introducing broker and carrying broker.

    5. A Dealer Member or Approved Person must not use a deceptive or misleading trade name.

    There is no history log for this rule.

    There is no history log for this rule.