New York, NY securities attorney Jenice L. Malecki talks about the FINRA Conduct Rules. She mentions that conduct rules encompass a comprehensive set of regulations governing every aspect of the brokerage community. These rules cover interactions with individual investors, trade processing and approval, supervision and compliance of transactions, and the opening of accounts. They also address documentation requirements to verify client identity, as well as the review of withdrawals and transfers. Each aspect of brokerage activity is detailed within the FINRA conduct rules, which are supplemented by regulatory notices—formerly known as Notices to Members—that clarify and expand upon the rules. These resources ensure broker-dealers understand their obligations clearly, highlighting the critical importance of conduct rules within the industry.