Series 26: Anti-Intimidation/Coordination

Taken from our Series 26 Online Guide

Anti-Intimidation/Coordination

No member firm or associated person may:

  • Coordinate its quotations, prices, trades, or trade reports with any other person
  • Direct or request another member firm to alter a price or quotation
  • Threaten, coerce, intimidate, or attempt improperly to influence any other person

Any attempt to influence another member firm or associated person to adjust or maintain a price, wherever it is displayed, any refusal to trade, and any other conduct that retaliates against or discourages the competitive activities of another market participant is prohibited.

These restrictions on coordinating quotes, trades, and

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