Cal. Code Regs. Tit. 10, § 260.218 - Just and Equitable Principles of Trade

Current through Register 2022 Notice Reg. No. 16, April 25, 2022

Each broker-dealer and each agent employed by such a broker-dealer shall observe high standards of commercial honor and just and equitable principles of trade in the conduct of such person's business.

Notes

Cal. Code Regs. Tit. 10, § 260.218

Note: Authority cited: Sections 25218 and 25610, Corporations Code. Reference: Section 25218, Corporations Code.

1. Amendment filed 11-29-79 as an emergency; designated effective 1-1-80. Certificate of Compliance included (Register 79, No. 48).
2. Editorial correction filed 11-9-82 (Register 82, No. 46).

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