Sales Practices Regulatory status current as of June 2026 — verify effective dates, dollar thresholds, and pending rulemakings against current SEC/FINRA/FinCEN sources before advising. Core Concepts FINRA Rule 2010 — Standards of Commercial Honor FINRA Rule 2010 is the catch-all ethical standard for all member firms and associated persons. It requires adherence to "high standards of commercial honor and just and equitable principles of trade." This rule is intentionally broad and serves as the basis for disciplinary action even when no other specific rule is violated. Conduct that is unethica…