3.1 FINRA Code of Conduct and Ethics

In this section

• Standards of Commercial Honor in Securities Industry
  Explore the Standards of Commercial Honor under FINRA Rule 2010, emphasizing ethical practices and integrity in the securities industry. Learn about scenarios that may violate these standards and the importance of maintaining high ethical standards in all business dealings.
• Just and Equitable Principles of Trade
  Explore the Just and Equitable Principles of Trade in the securities industry, focusing on ethical standards, examples of unethical practices, and regulatory expectations.