| United States. Securities and Exchange Commission - 1963 - 1134 páginas
...a public offering of all or any part of its participation to make an extra profit, are contrary to high standards of commercial honor and just and equitable principles of trade. With respect particularly to a practice of sales to such accounts primarily of new issues at a tune... | |
| United States. Securities and Exchange Commission - 1970 - 166 páginas
...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. Suitability... | |
| United States. Securities and Exchange Commission - 1958 - 1232 páginas
...Securities Dealers, Inc., 20 SEC 608 (1945). ' Section 1 of Article III of the NASD Rnles of Fair Practice requires members to observe high standards of commercial...honor and just and equitable principles of trade. It has been interpreted by the NASD to require that the price to the customer must be reasonably related... | |
| United States. Securities and Exchange Commission - 1960 - 996 páginas
...national 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, by failing to make good delivery of stock and to reimburse buyer for damages, and where Commission... | |
| United States. Securities and Exchange Commission - 1951 - 862 páginas
...groups, in selling below the initial public offering price in violation of the price agreements, fail to observe high standards of commercial honor and just and equitable principles of trade? Neither we nor the courts are bound to say that the sales violated the rule merely because the NASD... | |
| United States. Securities and Exchange Commission - 1953 - 824 páginas
...III of the Roles of Fair Practice of the NASD : "1. A member, in the conduct of his business, shall observe high standards of commercial 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 - 1952 - 920 páginas
...year for violating designated rules of fair practice of the association (1) requiring observance of high standards of commercial honor and just and equitable principles of trade, and (2) requiring that recommendations of securities transactions be based on reasonable grounds for... | |
| 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... | |
| 1981 - 668 páginas
...10.1511 10- 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] §240.15blO-3 Suitability of recommendations. Every nonmember... | |
| 1998 - 348 páginas
...$50 million. § 13.3 Business conduct. A bank that is a government securities broker or dealer shall 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. § 13.4 Recommendations to customers. In... | |
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