Series 3000: Business Conduct and Client Accounts Rules

Filter 3000 series by title:

3100: DEALING WITH CLIENTS

PART A – BUSINESS CONDUCT

3200: KNOW‐YOUR‐CLIENT AND CLIENT ACCOUNTS

PART C – ADVISORY ACCOUNTS

3300: PRODUCT DUE DILIGENCE AND KNOW‐YOUR‐PRODUCT
3400: SUITABILITY DETERMINATION
3500: SALES PRACTICES
3600: COMMUNICATIONS WITH THE PUBLIC

PART A – ADVERTISEMENTS, SALES LITERATURE AND CORRESPONDENCE

PART C – MISLEADING COMMUNICATIONS

3700: REPORTING AND HANDLING OF COMPLAINTS, INTERNAL INVESTIGATIONS AND OTHER REPORTABLE MATTERS

PART C – SETTLEMENT AGREEMENTS

PART D – CLIENT COMPLAINTS – INSTITUTIONAL CLIENTS

PART F – LEGAL ACTIONS

PART G – RECORD RETENTION REQUIREMENTS

3800: DEALER MEMBER RECORDS AND CLIENT COMMUNICATIONS
3900: SUPERVISION

PART E – SUPERVISION OF ORDER EXECUTION ONLY ACCOUNTS