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Ex. R (Prohibited Trade Practices) Mockup

THIS DOCUMENT IS A TECHNICAL ILLUSTRATION OF HOW CERTAIN DISCLOSURES IN SEC FILINGS ARE TO BE TAGGED. IT DOES NOT INDICATE WHICH PARTICULAR DISCLOSURES MUST BE INCLUDED AND/OR TAGGED IN COMMISSION FILINGS, AND IT DOES NOT CONSTITUTE LEGAL GUIDANCE OF ANY SORT.

Rules Prohibiting Specific Trade Practices

Rule 809 (False Information)  – We prohibit Members from disseminating any false or misleading or knowingly inaccurate information. 

Rule 810 (Fictitious Transactions ) – We prohibit Members from creating fictitious or wash transactions, or executing any such order on behalf of another with such knowledge of its nature.