In Effect to Protect Customers from Unsubstantiated or Undocumented Losses

In effect to protect customers from unsubstantiated or undocumented losses. NASD has some specific rules. The rules include:

A) Registered representatives are prohibited from guaranteeing a customer's account against loss or from sharing in the losses or gains in an account.
B) Private transactions conducted outside the firm are prohibited.
C) If a firm's stock is publicly traded, employees of the firm may not recommend nor solicit purchases of the firm's stock. However, unsolicited purchases are acceptable.
D) All of These.

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