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3120. Best execution obligation

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Series 3000: Business Conduct and Client Accounts Rules
    Rule
    1. A Dealer Member’s policies and procedures must specifically address achieving best execution for client orders.
    Guidance/Notices
    History

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    Disciplinary History
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      Jump to another section in Rule 3100
      3101. Introduction
      3102. Business conduct
      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
      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
      3140. Identifying clients of a Non-Executing Dealer Member

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