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FINRA Rule 2010

Requires members to observe high standards of commercial honor and just and equitable principles of trade in the conduct of their business.

Rule Overview

Jurisdiction: United States

Regulator: FINRA

Topic: General Requirements

Overview
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A broad conduct rule that mandates all FINRA member firms and their associated persons to maintain ethical standards in their professional activities.

It serves as a catch-all rule, allowing FINRA to discipline members for unethical or improper behavior even if the conduct is not explicitly covered by other FINRA rules.

Violations can include fraudulent behavior, misrepresentation, failure to supervise, or even certain personal misconduct if it reflects negatively on the member’s ability to meet industry standards.

An infraction of many other FINRA rules will often, as a consequence, result in the violation of this bedrock conduct rule.

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