Free Version

Dashboard
Review Topics
Quizzes
Practice Exams
Flashcards
Vocabulary
Don't go to your exam hungry. I recommend grass and berries, but you might want your brain food to be a little more substantial.

FINRA Rule, Standards of Commercial Honor and Principles of Trade

Dashboard > Maggie Grooves On Marketing, Prospecting and Sales Presentations > FINRA Rule, Standards of Commercial Honor and Principles of Trade

FINRA Rule, Standards of Commercial Honor and Principles of Trade

This rule could be boiled down to one statement: don’t be an ass when dealing with customers. Of course FINRA would never put it so succinctly (why use 8 words when you can use 80, right?), but that’s the basic gist.

Don’t be an Ass Part I

Under FINRA’s General Standards of Business Conduct, when conducting general sales practices, a member firm must follow high standards of commercial honor and just and equitable principles of trade when dealing with customers. All of this is covered un...

Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

$63.63
Next: More Miscellaneous FINRA Rules
Prev: FINRA Rule, Communication with the Public

*Securities is a registered trademark of the College Board, which was not involved in the production of, and does not endorse this product.