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Rule Subchapter: 6.10.4
Subchapter Title: Fraudulent and Unethical Practices
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6.10: SECURITIES DEPARTMENT
6.10.4: Fraudulent and Unethical Practices

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Rule No Rule Title Latest
Version		 Effective
Date
6.10.401 FRAUDULENT AND UNETHICAL PRACTICES PROHIBITED BY BROKER-DEALERS AND SALESMEN access file 10/24/2020
6.10.402 FRAUDULENT AND UNETHICAL PRACTICES PROHIBITED BY INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED ADVISERS access file 10/24/2020
6.10.403 SANCTIONS AGAINST FRAUDULENT FOREIGN SECURITIES AND THEIR DEALERS access file 9/26/2008
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