Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.

The scope of coverage contained in paragraph (a) of this Rule may be expanded or limited in any Rule of this Code if specifically provided therein.11100. SCOPE OF UNIFORM PRACTICE CODE 11110. Committees 11120. Definitions 11130. When, As and If Issued/

The Rules shall be interpreted in light of the purposes sought to be achieved by the Rules and to further FINRA's regulatory programs. Contents: 0110. Adoption of Rules 0120. Effective Date 0130. Interpretation 0140. Applicability 0150. Application

A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.