Expand All 2000. BUSINESS CONDUCT 2100. GENERAL STANDARDS 2110. Standards of Commercial Honor and Principles of Trade 2111. Trading Ahead of Customer Market Orders 2120. Use of Manipulative, Deceptive or Other Fraudulent Devices 2130. Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD System) 2200. COMMUNICATIONS WITH CUSTOMERS AND THE PUBLIC 2210. Communications with the Public 2220. Options Communications 2230. Confirmations 2240. Disclosure of Control Relationship with Issuer 2250. Disclosure of Participation or Interest in Primary or Secondary Distribution 2260. Forwarding of Proxy and Other Materials 2270. Disclosure of Financial Condition to Customers 2280. Investor Education and Protection 2290. Fairness Opinions 2310. Recommendations to Customers (Suitability) 2315. Recommendations to Customers in OTC Equity Securities 2320. Best Execution and Interpositioning 2330. Customers' Securities or Funds 2340. Customer Account Statements 2341. Margin Disclosure Statement 2342. SIPC Information 2350. Broker/Dealer Conduct on the Premises of Financial Institutions 2360. Approval Procedures for Day-Trading Accounts 2361. Day-Trading Risk Disclosure Statement 2370. Borrowing From or Lending to Customers 2410. Net Prices to Persons Not in Investment Banking or Securities Business 2420. Dealing with Non-Members 2430. Charges for Services Performed 2440. Fair Prices and Commissions 2441. Net Transactions with Customers 2450. Installment or Partial Sales 2460. Payments for Market Making 2510. Discretionary Accounts 2520. Margin Requirements 2710. Corporate Financing Rule — Underwriting Terms and Arrangements 2711. Research Analysts and Research Reports 2720. Public Offerings of Securities With Conflicts of Interest 2730. Securities Taken in Trade 2740. Selling Concessions, Discounts and Other Allowances 2750. Transactions with Related Persons 2760. Offerings 'At the Market' 2770. Disclosure of Price in Selling Agreements 2780. Solicitation of Purchases on an Exchange to Facilitate a Distribution of Securities 2790. Restrictions on the Purchase and Sale of Initial Equity Public Offerings 2800. SPECIAL PRODUCTS 2810. Direct Participation Programs 2820. Variable Contracts of an Insurance Company 2821. Members' Responsibilities Regarding Deferred Variable Annuities 2830. Investment Company Securities 2840. Trading in Index Warrants, Currency Index Warrants, and Currency Warrants 2841. General 2842. Definitions 2843. Account Approval 2844. Suitability 2845. Discretionary Accounts 2846. Supervision of Accounts 2847. Customer Complaints 2848. Communications with the Public and Customers Concerning Index Warrants, Currency Index Warrants, and Currency Warrants 2849. Maintenance of Records 2850. Position Limits 2851. Exercise Limits 2852. Reserved 2853. Liquidation of Index Warrant Positions 2854. Reserved 2860. Options 2865. Security Futures 2870. Reserved 2900. RESPONSIBILITIES TO OTHER BROKERS OR DEALERS 3000. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS, EMPLOYEES, AND OTHERS' EMPLOYEES 3010. Supervision 3011. Anti-Money Laundering Compliance Program 3012. Supervisory Control System 3013. Annual Certification of Compliance and Supervisory Processes 3020. Fidelity Bonds 3030. Outside Business Activities of an Associated Person 3040. Private Securities Transactions of an Associated Person 3050. Transactions for or by Associated Persons 3060. Influencing or Rewarding Employees of Others 3070. Reporting Requirements 3080. Disclosure to Associated Persons When Signing Form U-4 3090. Transactions Involving Association and American Stock Exchange Employees 3110. Books and Records 3115. Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures 3120. Use of Information Obtained in Fiduciary Capacity 3121. Custodian of the Record 3130. Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties 3131. Regulation of Activities of Section 15C Members Experiencing Financial and/or Operational Difficulties 3140. Approval of Change in Exempt Status Under SEC Rule 15c3-3 3150. Reporting Requirements for Clearing Firms 3160. Extensions of Time Under Regulation T and SEC Rule 15c3-3 3170. Mandatory Electronic Filing Requirements 3200. SETTLEMENTS 3300. TRADING 3310. Publication of Transactions and Quotations 3320. Offers at Stated Prices 3330. Payment Designed to Influence Market Prices, Other than Paid Advertising 3340. Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts 3360. Short-Interest Reporting 3370. Purchases 3380. Order Entry and Execution Practices 3500. EMERGENCY PREPAREDNESS 3510. Business Continuity Plans 3520. Emergency Contact Information Book traversal links for CONDUCT RULES (2000–3000) ‹ 1160. Contact Information Requirements Up 2000. BUSINESS CONDUCT ›
