Series 24: 5.14.1. Coordination And Intimidation

Taken from our Series 24 Online Guide

5.14.1. Coordination and Intimidation

No broker-dealers or affiliated persons may coordinate their prices, quotations, trades, or trade reports with any other person’s, or request anyone else to alter a price or quotation. Nor may they engage in any conduct that threatens, harasses, coerces, or otherwise attempts to improperly influence any other person. This includes attempts to influence others to adjust or maintain a price or quotation, whether displayed on any facility operated by FINRA or otherwise. It also includes refusals to trade or any conduct that retaliates against or discourages the competitive activities of a market maker or other market participant.

Such techniques are considered market manipulation, which is strictly prohibited by both the SEC and FINRA. In recent

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