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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...

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