...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...

...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...

...Article 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...

...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....

...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...

...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...

...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...

...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....

...least $50 million. §368.3 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. {368.4 Recommendations...

...§ 240.1 5ЫО-2 General Ьшшем conduct. Every nonmember broker or dealer and associated person shall observe high standards of commercial honor and just and equitable principles oí trade In the conduct of his business. [83 FB 11S3S. Aug. 11, 1967] §240.15ЫО-3 Suitability of...