| 2000 - 1218 páginas
...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... | |
| 2000 - 304 páginas
...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... | |
| Robert A. Robertson - 2001 - 906 páginas
...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... | |
| Jonathan M. Hoff, Lawrence A. Larose, Frank J. Scaturro - 2002 - 706 páginas
...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... | |
| Carl C. Roba - 2004 - 292 páginas
...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... | |
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