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2410. Net Prices to Persons Not in Investment Banking or Securities Business

This rule is no longer applicable. NASD Rule 2410 has been superseded by FINRA Rule 2040. Please consult the appropriate FINRA Rule.

No member shall offer any security or confirm any purchase or sale of any security, from or to any person not actually engaged in the investment banking or securities business at any price which shows a concession, discount, or other allowance, but shall offer such security and confirm such purchase or sale at a net dollar or basis price.
Cross Reference–

 

 

IM-2420-1, Transactions Between Members and Non-Members

 

Selected Notice: 15-07.

 

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