California Code of Regulations
Title 10 - Investment
Chapter 3 - Commissioner of Financial Protection and Innovation
Subchapter 2 - Corporate Securities
Article 9 - Regulation of Broker-Dealers and Agents
Section 260.218 - Just and Equitable Principles of Trade
Universal Citation: 10 CA Code of Regs 260.218
Current through Register 2024 Notice Reg. No. 38, September 20, 2024
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.
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).
Note: Authority cited: Sections 25218 and 25610, Corporations Code. Reference: Section 25218, Corporations Code.
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