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CONDUCT RULES - SEC

2000 Series CONDUCT RULES Table of Contents 2000. BUSINESS CONDUCT 2100. GENERAL STANDARDS 2110. Standards of Commercial Honor and Principles of Trade IM-2110-1. [Reserved] IM-2110-2. Trading Ahead of Customer Limit Orders IM-2110-3. Front Running Policy IM-2110-4. Trading Ahead of Research Reports IM-2110-5. Anti-Intimidation/Coordination IM-2110-6. Confirmation of Callable Common Stock 2120. Use of Manipulative, Deceptive or Other Fraudulent Devices 2130. Nasdaq Ownership Restriction 2200. COMMUNICATIONS WITH CUSTOMERS AND THE PUBLIC 2210. Communications with the Public IM-2210-1.

A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade. Cross References - IM-1000-1, Filing of Misleading Information as to Membership or Registration

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