Article 9 - Regulation of Broker-Dealers and Agents
- Section 260.216 - Fraud and Misrepresentation
- Section 260.216.1 - Definitions
- Section 260.216.2 - Confirmation of Transactions
- Section 260.216.3 - Disclosure of Control of Issuer
- Section 260.216.4 - Disclosure of Interest in Distributions
- Section 260.216.4.1 - Disclosure of Compensation from Financial Planning Activities
- Section 260.216.5 - Churning
- Section 260.216.6 - Record of Transactions in Discretionary Accounts
- Section 260.216.7 - Control of the Market
- Section 260.216.8 - Hypothecation of Customers' Securities
- Section 260.216.9 - Transmission or Maintenance of Payments Received in Connection with Underwritings
- Section 260.216.10 - Disclosure and Other Requirements when Extending or Arranging Credit in Certain Transactions
- Section 260.216.11 - Identification of Quotations
- Section 260.216.12 - Minimum Capital Requirement for Broker-Dealers
- Section 260.216.12.1 - Reserve and Custody Requirements
- Section 260.216.13 - Ratio of Net Capital to Aggregate Indebtedness. [Repealed]
- Section 260.216.14 - Use of Customer Free-Credit Balance
- Section 260.216.15 - Bond Requirement
- Section 260.216.16 - Dual Employment or Affiliation
- Section 260.217 - Qualifications of Broker-Dealers, Compliance Supervisors and Reported Agents
- Section 260.217.1 - Qualifications of Agents. [Repealed]
- Section 260.218 - Just and Equitable Principles of Trade
- Section 260.218.1 - Mark-Ups and Mark-Downs
- Section 260.218.2 - Suitability of Recommendations
- Section 260.218.3 - Free-Riding and Withholding
- Section 260.218.4 - Supervision of Agents
- Section 260.218.5 - Record Keeping. [Repealed]
- Section 260.218.6 - Discretionary Authority