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2020. Use of Manipulative, Deceptive or Other Fraudulent Devices
No member shall effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.
Cross References–
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Amended by SR-FINRA-2008-028 eff. Dec. 15, 2008. Selected Notice: 08-57. |
- Regulatory Notice 18-29September 12, 2018
- Regulatory Notice 18-25August 13, 2018
- Regulatory Notice 17-22June 07, 2017
- Regulatory Notice 16-06January 29, 2016
- Regulatory Notice 15-15May 12, 2015
- Regulatory Notice 14-26June 27, 2014
- Regulatory Notice 13-34October 23, 2013
- Regulatory Notice 12-55December 10, 2012
- Regulatory Notice 12-03January 17, 2012
- Regulatory Notice 12-25May 18, 2012
- Regulatory Notice 11-43September 20, 2011
- Regulatory Notice 11-11March 11, 2011
- Regulatory Notice 11-04January 11, 2011
- Regulatory Notice 10-22April 20, 2010
- Regulatory Notice 09-28May 27, 2009
- Guidance, Notice, Regulatory NoticeDecember 10, 2012
- Notice, Regulatory Notice, GuidanceJanuary 17, 2012
- Guidance, Notice, Regulatory NoticeMay 18, 2012
- Notice, Regulatory Notice, GuidanceApril 20, 2010
- Notice, Regulatory Notice, GuidanceMay 27, 2009