Series 7: 17.6.5. FINRA Trading Conduct Rules

Taken from our Series 7 Online Guide

17.6.5. FINRA Trading Conduct Rules

Under the Exchange Act, member firms are responsible for the business conduct of the firm and its employees. Specifically, members are required to observe high standards of commercial honor and practice just and equitable principles of trade. The trading conduct rules below embody these principles.

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