 | United States. Securities and Exchange Commission - 1958 - 1232 lapas
...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... | |
 | United States. Securities and Exchange Commission - 1970 - 166 lapas
...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... | |
 | United States. Securities and Exchange Commission - 1953 - 824 lapas
...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... | |
 | 1998 - 348 lapas
...$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... | |
 | 1981 - 668 lapas
...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.... | |
 | 1950 - 634 lapas
...Rule 1, alleged to have been violated, provides : "A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade." By the "Agreement Among Underwriters", entered into on December 5, 1939, each underwriter agreed... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1955 - 1038 lapas
...against members, involved the following: 1. Failure to abide by the general requirement that members observe high standards of commercial honor and just and equitable principles of trade; 2. Breach of the general requirement that members deal fairly with customers in the purchase... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1955 - 270 lapas
...association's rules of fair practice. These rules include a general requirement that all members "shall observe high standards of commercial honor and just and equitable principles of trade." This rule, and others, are directed toward raising the ethical, as distinguished from the legal,... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1956 - 806 lapas
...jiertinent rules of fair practice : "AKTICI.E in "1. A member, in the conduct of his business, shall observe high standards of commercial honor and Just and equitable principles of trade. "2. In recommending to a customer the purchase, sale, or exchange of any security, a member... | |
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These rules are designed to ensure that brokers observe high standards of commercial honor and just and equitable principles of fair trade in the conduct of their business. 
