SIE: 9.2. FINRA Conduct Rules

Taken from our SIE Online Guide

9.2.  FINRA Conduct Rules

The Exchange Act requires broker-dealers to be accountable for the conduct of their employees. FINRA states:

A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.

FINRA has codified this principal in a

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