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–

2111, Suitability
5210, Publication of Transactions and Quotations

Amended by SR-FINRA-2008-028 eff. Dec. 15, 2008.

Selected Notice: 08-57.

Regulatory Notice 18-29
FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
September 12, 2018
Regulatory Notice 18-25
FINRA Reminds Alternative Trading Systems of Their Obligations to Supervise Activity on Their Platforms
August 13, 2018
Regulatory Notice 17-22
FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings
June 07, 2017
Regulatory Notice 16-06
SEC Approval of FINRA Funding Portal Rules and Related Forms
January 29, 2016
Regulatory Notice 15-15
The National Adjudicatory Council (NAC) Revises the Sanction Guidelines Related to Misrepresentations and Suitability
May 12, 2015
Regulatory Notice 14-26
New Payments for Market Making Certification Requirement for FINRA Form 211
June 27, 2014
Regulatory Notice 13-34
FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms
October 23, 2013
Regulatory Notice 12-55
Guidance on FINRA’s Suitability Rule
December 10, 2012
Regulatory Notice 12-03
Heightened Supervision of Complex Products
January 17, 2012
Regulatory Notice 12-25
Additional Guidance on FINRA’s New Suitability Rule
May 18, 2012
Regulatory Notice 11-43
FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest
September 20, 2011
Regulatory Notice 11-11
FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
March 11, 2011
Regulatory Notice 11-04
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements
January 11, 2011
Regulatory Notice 10-22
Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
April 20, 2010
Regulatory Notice 09-28
FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest
May 27, 2009

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