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 use due diligence to ensure that all orders or recommendations for any account are within the bounds of good business practice.

    There is no history log for this rule.

    There is no history log for this rule.