Expand All 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) IM-2310-1. Possible Application of SEC Rules 15g-1 through 15g-9 IM-2310-2. Fair Dealing with Customers IM-2310-3. Suitability Obligations to Institutional Customers 2315. Recommendations to Customers in OTC Equity Securities 2320. Best Execution and Interpositioning IM-2320. Interpretive Guidance with Respect to Best Execution Requirements 2330. Customers' Securities or Funds IM-2330. Segregation of Customers' Securities 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 IM-2420-1. Transactions Between Members and Non-Members* IM-2420-2. Continuing Commissions Policy 2430. Charges for Services Performed 2440. Fair Prices and Commissions IM-2440-1. Mark-Up Policy IM-2440-2. Additional Mark-Up Policy For Transactions in Debt Securities, Except Municipal Securities1 2441. Net Transactions with Customers 2450. Installment or Partial Sales 2460. Payments for Market Making 2510. Discretionary Accounts 2520. Margin Requirements 2521. Margin Requirements — Exception for Certain Members 2522. Definitions Related to Options, Currency Warrants, Currency Index Warrants and Stock Index Warrants Transactions IM-2522. Computation of Elapsed Days 2522. (continued) Definitions Related to Options, Currency Warrants, Currency Index Warrants and Stock Index Warrants Transactions 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 IM-2730. Safe Harbor and Presumption of Compliance 2740. Selling Concessions, Discounts and Other Allowances IM-2740. Services in Distribution 2750. Transactions with Related Persons IM-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 2910. Disclosure of Financial Condition to Other Members Book traversal links for 2000. BUSINESS CONDUCT ‹ CONDUCT RULES (2000–3000) Up 2100. GENERAL STANDARDS ›
