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.
In recent years, both the SEC and FINRA have stepped up their efforts to p