Expand All 2110. Recommendations 2111. Suitability 2114. Recommendations to Customers in OTC Equity Securities 2120. Commissions, Mark Ups and Charges 2121. Fair Prices and Commissions 2122. Charges for Services Performed 2124. Net Transactions with Customers 2130. Approval Procedures for Day-Trading Accounts 2140. Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes 2150. Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts 2165. Financial Exploitation of Specified Adults Book traversal links for 2100. TRANSACTIONS WITH CUSTOMERS ‹ 2090. Know Your Customer Up 2110. Recommendations ›