...Association of Securities Dealers, Inc. (NASD") Rule 2210 as well as Rule 21 10, which requires members to observe high standards of commercial honor and just and equitable principles of trade. Current Practices As stated above, on-line firms have described to us steps they have taken...

...defraud and deceive the Claimants, and did in fact defraud and deceive the Claimants, thereby failing to observe high standards of commercial honor and just and equitable principles of trade as required by NASD Conduct Rule 21 10. 20 75. Respondents, by failing to recommend investments...

...Most generally, NASD-R Conduct Rule 21 10 provides, "[a] member, in the conduct of his business shall observe high standards of commercial honor and just and equitable principles of trade." This general provision would reach unauthorized disclosure, or other misuses, of confidential...

...a broker-dealer, is required to register with the SEC and the NASD (15 USC § 7Ma)-(b)(l)(B)), and observe "high standards of commercial honor and just and equitable principles of trade." NASD Conduct Rule 21 10. See also, Duker & Duker. 6 SEC 388. 389 (1939). A broker-dealer is...

...based on Article III, Section 1 of the NASD Rules of Fair Practice. This section obligates members to observe "high standards of commercial honor and just and equitable principles of trade."20 This standard operates in conjunction with Rule 2710 of the NASD,21 which requires that the...

...type of regulatory oversight that Congress intended. These rules require Forex Dealer Members to: • observe high standards of commercial honor and just and equitable principles of trade in connection with their retail forex business; • supervise their employees and agents and...

...Secrecy Act regulations under an NASD rule of conduct, which obliges firms and their employees "to observe high standards of commercial honor and just and equitable principles of trade." Today, with the advent of the USA PATRIOT Act, a number of new anti-money laundering requirements...

...words are really the roots of the NASD's central rule: "A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade." No one is under the illusion that the systemic flaws revealed by Enron can be set right without...

...violated NASD's and NYSE's advertising rules, as well as the NASD and NYSE rules that require members to observe high standards of commercial honor and just and equitable principles of trade. A. InfoSpace InfoSpace, Inc. ("InfoSpace") is an Internet information infrastructure services...

...AGENTS" [Adopted May 23, 1 983] [HIGH STANDARDS AND JUST PRINCIPLES.] Each broker-dealer and agent shall observe high standards of commercial honor and just and equitable principles of trade in the conduct of their business. Acts and practices, including but not limited to the following,...