SIE: 9.1.1. Use Of Manipulative, Deceptive, Or Other Fraudulent Devices

Taken from our SIE Online Guide

9.1.1. Use of Manipulative, Deceptive, or Other Fraudulent Devices

FINRA prohibits member firms from transacting in securities by means of manipulative, deceptive, or other fraudulent devices. This broad rule has been used over the years to address a wide range of misconduct, including market manipulation, excessive trading, and fraudulent misrepresentation. Some of th

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