- 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.
There is no history log for this rule.
There is no history log for this rule.