3102. Business conduct

A Dealer Member must ensure that it handles its clients’ business within the bounds of ethical conduct, consistent with just and equitable principles of trade, and in a manner that is not detrimental to the interests of the investing public and the securities industry.
A Dealer Member must take reasonable steps to ensure that all orders or recommendations for any account are within the bounds of good business practice.

3103. – 3109. Reserved.

Guidance/Notices

There is no history log for this rule.

Disciplinary History

There is no history log for this rule.

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3101. Introduction

3110. Responsibility to identify conflicts of interest

3111. Approved Person responsibility to address conflicts of interest

3112. Dealer Member responsibility to address conflicts of interest

3113. Responsibility to disclose conflicts of interest

3114. Conflicts of interest policies and procedures

3115. Personal financial dealings

3116. Offering gratuity

3117. Mutual fund sales incentives

3118. Tied selling

3119. Definitions

3120. Best execution obligation

3121. Best execution factors

3122. Best execution process

3123. Non-executing Dealer Member best execution policies and procedures

3124. Sending orders in bulk to foreign intermediaries

3125. Fair pricing of over-the-counter securities

3126. Review of best execution policies and procedures

3128. Compliance with the Order Protection Rule

3129. Disclosure of best execution policies

3140. Identifying clients of a Non-Executing Dealer Member