SIE: 9.2.10. No Splitting Orders Or Executions For Personal Gain

Taken from our SIE Online Guide

9.2.10. No Splitting Orders or Executions for Personal Gain

FINRA prohibits splitting orders into multiple smaller orders or splitting transactions into multiple smaller transactions for the purpose of earning higher commissions or some other form of payment. This unlawful act of artificially inflating the number of transactions is known as trade shredding.

FINRA Rule 5290

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SIE: 9.2.10. No Splitting Orders Or Executions For Personal Gain

Taken from our SIE Online Guide

9.2.10. No Splitting Orders or Executions for Personal Gain

Since you're reading about SIE: 9.2.10. No Splitting Orders Or Executions For Personal Gain, you might also be interested in:

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