002-4 Wyo. Code R. § 4-6
Current through April 27, 2019
Every broker-dealer shall observe high standards of commercial honor and just and equitable principles of trade in the conduct of their business. Acts and practices including but not limited to items set forth by NASAA on DISHONEST OR UNETHICAL BUSINESS PRACTICES OF BROKER-DEALERS AND AGENTS (Statement of Policy) adopted May 23, 1983 (found at www.nasaa.org), herein incorporated by reference, may be considered contrary to such standards. These acts and practices may constitute dishonest or unethical practices as found in W.S. § 17-4-412(d)(xiii) or other listed grounds for denial, suspension or revocation of registration, monetary penalty or such other action authorized by statute.
002-4 Wyo. Code R. § 4-6
Amended, Eff. 10/27/2017.