3102. Business conduct

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    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 take reasonable steps to ensure that all orders or recommendations for any account are within the bounds of good business practice.

    3103. – 3109.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.