Stock brokers must maintain integrity, avoid market manipulation, ensure competent client service and truthful regulatory reporting.

Stock brokers must maintain high standards of integrity, promptitude and fairness; act honestly, fairly and with due skill, care and diligence in investor interests; not engage in manipulative, fraudulent or deceptive conduct, false market creation, unfair solicitation, or business beyond financial soundness; and must submit truthful required returns. Brokers must also ensure competence by providing fair, prompt and competent client services and reasonably training employees to professional standards.

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