BD General Anti-Fraud (FINRA Rule 2020)

Overview

FINRA Rule 2020 is a broadly written anti-fraud rule that allows FINRA to find a violation in any number of situations of alleged misconduct. The regulators quite commonly bring a charge of a FINRA Rule 2020 violation in connection with a charge of an SEA Rule 10b-5 violation.

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FINRA Rule

  • FINRA Rule 2020 (Use of manipulative, deceptive or other fraudulent devices))
  • FINRA Rule 0180 (Application of FINRA Rules, including Rule 2020, to security-based swaps)

Developments

Enforcement