 A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.  Securities Industry Study: Report - Página 213por United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1973 - 240 páginasVisualização integral - Acerca deste livro
 | United States. Securities and Exchange Commission - 1963 - 1134 páginas
...were found by the NASD to be in contravention of its Rules of Fair Practice which state that a member "shall observe high standards of commercial honor and just and equitable principles of trade" and require that where a member sells a security for his own account to his customer the price must... | |
 | United States. Securities and Exchange Commission - 1953 - 824 páginas
...have violated the following sections of Article III of the Roles of Fair Practice of the NASD : "1. A member, in the conduct of his business, shall observe...honor and Just and equitable principles of trade. • •***•• "12. A member at or before the completion of each transaction with a customer shall... | |
 | United States. Securities and Exchange Commission - 1957 - 1194 páginas
...any penon aKurieved thereby ..." i 1 of Article 1 1 1 of the NASD Rulea of Fair Practice provide.: "A member, in the conduct of his business, shall observe high standards of commercial honor and jut and equitable principles of trade." • The NA8D ordered that the period of suspension begin on... | |
 | United States. Securities and Exchange Commission - 1960 - 996 páginas
...Section 1 of Article III of the NASD Rules of Fair Practice provides : "A member, in the conduct of hia business, shall observe high standards of commercial...honor and just and equitable principles of trade." a Under Section 15A(g) the filing of the application for review operates as a stay of the NASD dlaclpinary... | |
 | United States. Securities and Exchange Commission - 1970 - 166 páginas
...1987.) Rnle 15blQ-2. General Business Conduct Every nonmember broker or dealer and associated person shall observe high standards of commercial honor and just and equitable principles of trade in the conduct of his business. (Adopted July 27, 1967, Release 34-8135, eff. Oct 2, 1867.) Rule 15blO-3.... | |
 | United States. Securities and Exchange Commission - 1958 - 1232 páginas
...securities association disciplined member on ground he violated association rule requiring members to observe high standards of commercial honor and just and equitable principles of trade, because of his alleged breach of a contract in refusing to accept delivery of securities, and where... | |
 | United States. Securities and Exchange Commission - 1949 - 1134 páginas
...that it was his practice to gauge his prices according to the quotations in the • Section 1 provides "A member, in the conduct of his business, shall observe high standards of xunmocial honor and just and equitable principles of trade." Section 4 provides: In "over-the-counter"... | |
 | United States. Securities and Exchange Commission - 1952 - 920 páginas
...such stock, had purchased stock in the over-the-counter market at prices above the option price. "1. A member, in the conduct of his business, shall observe high standards of honor and just and equitable principles of trade. it ir & it ft ft it "12. A member at or before the... | |
 | United States - 1994 - 1332 páginas
...of excessive spreads and markups, unscrupulous sales practices, and other conduct inconsistent with !N [H @* ; q ]_ h ض > .l |A 5 - b ǒ k .i Y ǃ D" ` & V "(4) any obstacles to or limitations on the authority of self-regulatory organizations that impair... | |
 | 1978 - 1130 páginas
...1973] § 240.15ЫО-2 General business conduct Every nonmember broker or dealer and associated person shall observe high standards of commercial honor and just and equitable principles of trade in the conduct of his business. [32 FR 11639. Aug. 11. 1967] §240.15ЫО-3 Suitability of recommendatione.... | |
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