...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...

...Securities Dealers, Inc., 20 SEC 5OS (1945). * Section 1 of Article III of the NASD's rules requires members to observe high standards of commercial honor and just and equitable principles of trade. The NASD has interpreted this section to require that the price to a customer must be reasonably related...

...agreements, the charge being that such members violated a rule of the association requiring members to observe high standards of commercial honor and just and equitable principles of trade, held that the actions of the association must be set aside, the Commission finding that the limitations...

...Article III of the NASD Rules of Fair Practice provides: "A member. In the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade." The remaining sections of Article III cited in the text as having been violated, contain specific prohibitions...

...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...

...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....

...rea: Section I of Article III of the NASD's Rules of Fair Practice requires members to observe hi«b standards of commercial honor and just and equitable principles of trade. The NASD has interpreted this section to require that the price to the customer must be reasonably related...

...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...

...$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...