Series 99: 3.1.3 Prohibition Against Trading Ahead Of Customer Orders

Taken from our Series 99 Top-off Online Guide

3.1.3 Prohibition Against Trading Ahead of Customer Orders

Broker-dealers must execute marketable customer orders fully and promptly, to the best of their abilities. Marketable customer orders are market and limit orders that can be executed at the current market price.

This rule states that

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Series 99: 3.1.3 Prohibition Against Trading Ahead Of Customer Orders

Taken from our Series 99 Top-off Online Guide

3.1.3 Prohibition Against Trading Ahead of Customer Orders

Since you're reading about Series 99: 3.1.3 Prohibition Against Trading Ahead Of Customer Orders, you might also be interested in:

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