conductLevel 1

Conduct Rules

GET/api/v1/systems/reg_finra/nodes/conduct

Manual TranscriptionPublic DomainSource

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rule_2010Rule 2010 - Standards of Commercial Honor and Principles of Trade

rule_2020Rule 2020 - Use of Manipulative, Deceptive or Other Fraudulent Devices

rule_2090Rule 2090 - Know Your Customer

rule_2111Rule 2111 - Suitability

rule_2121Rule 2121 - Fair Prices and Commissions

rule_2150Rule 2150 - Improper Use of Customers' Securities or Funds

rule_2210Rule 2210 - Communications with the Public

No cross-system equivalences mapped for this node.