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A Dealer Member must give priority to client orders over all other orders for the same security at the same price.
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The Dealer Member must not give priority to orders for an account in which the Dealer Member or an employee or Approved Person of the Dealer Member has a direct or indirect interest, other than an interest in the commission charged.
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Where investment decisions are made centrally and applied across a number of managed accounts, subsections 3503(1) and 3503(2) do not apply to the managed accounts of partners, Directors, officers, employees or Approved Persons of a Dealer Member who participate in a managed account program on the same basis as client accounts.
There is no history log for this rule.
There is no history log for this rule.