Search

3102. Business conduct

Or jump to a Series:

Series 3000: Business Conduct and Client Accounts Rules
    Rule
    1. 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. 
    2. A Dealer Member must use due diligence to ensure that all orders or recommendations for any account are within the bounds of good business practice.
    Guidance/Notices

    There are no related Guidance/Notice documents available for this section.

    History

    There is no history log for this rule.

    Disciplinary History
    There is no history log for this rule.
      Jump to another section in Rule 3100
      3101. Introduction
      3103. Know-your-client
      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
      3127. Training
      3128. Compliance with the Order Protection Rule
      3129. Disclosure of best execution policies

      Select a Series