Series 3000: Business Conduct and Client Accounts Rules

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3100: DEALING WITH CLIENTS

PART A – BUSINESS CONDUCT

3200: CLIENT ACCOUNTS

PART C – ADVISORY ACCOUNTS

3400: SUITABILITY
3500: SALES PRACTICES
3600: COMMUNICATIONS WITH THE PUBLIC

PART A – ADVERTISEMENTS, SALES LITERATURE AND CORRESPONDENCE

3700: REPORTING AND HANDLING OF COMPLAINTS, INTERNAL INVESTIGATIONS AND OTHER REPORTABLE MATTERS

PART C – SETTLEMENT AGREEMENTS

PART D – CLIENT COMPLAINTS – INSTITUTIONAL CLIENTS

PART F – LEGAL ACTIONS

PART G – RECORD RETENTION REQUIREMENTS

3800: DEALER MEMBER RECORDS AND CLIENT COMMUNICATIONS
3900: SUPERVISION

PART E – SUPERVISION OF ORDER EXECUTION ONLY ACCOUNTS