Series 7: 3.6.42 Rule G-43—Broker’s Brokers

Taken from our Series 7 Top-off Online Guide

3.6.42 Rule G-43—Broker’s Brokers

Each dealer acting as a broker’s broker must make a reasonable effort to obtain a fair and reasonable price for its customers in relation to prevailing market conditions. Broker’s brokers are prohibited from taking any action that would work agai

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