Series 99: 3.1.7 Front Running Of Block Transactions

Taken from our Series 99 Top-off Online Guide

3.1.7 Front Running of Block Transactions

When a member firm or a registered representative trades a security ahead of a customer’s trade (usually a block order of 10,000 shares or more) because it expects the customer’s trade to affect the security’s price, it is called front running. This is prohibited even if the registered representative has discretion over the customer’s account, beca

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