...Mines. Ltd. 448 (193^. 6f Under the Rules of Fair Practice of that Association, a member is required to observe 'high standards of commercial honor and Just and equitable principles of trade'. The Association has issued an interpretation stating in substance that it is contrary to that...

...submitting false information to KFA or conversion of customer funds. This rule requires Members to "observe high ' standards of commercial honor and just and equitable principles of trade" in the conduct of their commodity futures business. The rule, in effect, imposes a broadly stated...

...course of his empldyment with Capcon. 3. NFA Conpliance Rule 2-4 requires Members and Associates to observe high standards of commercial honor and just and equitable principles of trade in the conduct of their commodity futures business. 4. On or about November 1, 1989, Tzakis,...

...regulatory requirements. 0 Securities salespersons ars subject to rules of fair practice. The rules of the securities industry's self-regulatory organizations...designed to ensure that brokers observe high standards of commerciel honor and just and equitable principles of fair trade in the conduct of their business....

...regulatory requirements. o Securities salespersons are subject to rules of fair prectice. The rules of the securities industry's self-regulatory organizations...securities laws and regulations require brokers to comply writh rules of fair practice. These rules are designed to ensure that brokers observe high standards...

...obligation of fair dealing under the general antifraud provisions of the federal securities laws and shall observe high standards of commercial honor and just and equitable principles of trade. Sales personnel should have reasonable grounds for believing that the recommendation is suitable...

...standard in Section 1 of Article III, stating that "a member, in the conduct of bis business, shall observe high standards of commercial honor and just and equitable principles of trade." In contrast to the SEC, the SM Kahn ». «.».c.. 2«7 r.2d 112 (2d Cir. 1M1) ud t Co. Y. stc....

...the following: • Article III. Section 1 of the Rules of Fair Practice, which requires members to observe high standards of commercial honor and just and equitable principles of trade in [he conduct of their business. • Article III. Section 2 of the Rules of Fair Practice, which...

...require that a bank which is a government securities broker or dealer and its associated persons: • Observe high standards of commercial honor and just and equitable principles of trade in the conduct of its business as a government securities broker or dealer; and • Have reasonable...

...Be it resolved, that the NASP shall adopt a code of ethics for its members. All members shall: • Observe high standards of commercial honor and just and equitable principles of trade; • Comply with all laws governing the member's operations, and shall conduct its business so...