3601. Introduction

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    1. A Dealer Member’s policies and procedures must specifically address communication with the public and the Dealer Member must monitor compliance with these policies and procedures to provide reasonable assurance the Dealer Member, its employees and Approved Persons comply with the policies and procedures.

    2. Rule 3600 is divided into the following parts:

    3. Part A – Advertisements, sales literature and correspondence
      [sections 3602 and 3603]

    4. Part B – Research reports
      [sections 3606 through 3623]

    5. Part C – Misleading Communications
      [section 3640]

    There is no history log for this rule.

    There is no history log for this rule.