Series 14: 2.9.4. Front Running

Taken from our Series 14 Online Guide

2.9.4. Front Running

Front running is when a member firm or a registered representative trades a security ahead of a customer trade (usually a block order of 10,000 shares or more) in the expectation that the customer trade will affect the price of the security. This is prohibited even if the registered representative has discretion over the client’s account, because this activity would put the

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