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" In recommending to a customer the purchase, sale or exchange of any security, a member shall have reasonable grounds for believing that the recommendation is suitable for such customer upon the basis of the facts, if any, disclosed by such customer as... "
Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of ... - Página 96
por David P. McCaffrey, David W. Hart - 1998 - 224 páginas
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Decisions and Reports, Volumen37

United States. Securities and Exchange Commission - 1958
...business, shall observe high standards of comnerdal honor and just and equitable principles of trade." •'In recommending to a customer the purchase, sale...reasonable grounds for believing that the recommendation Is •altable for such customer upon the basis of the facts, If any, disclosed by such customer as to...
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Decisions and Reports, Volumen20

United States. Securities and Exchange Commission - 1952
...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 umber shall have reasonable grounds for believing that the recommendation is suitable for neh customer...
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Code of Federal Regulations: 1985-1999, Parte300

1981
...sale or exchange of a government security, a bank that is a government securities broker or dealer shall have reasonable grounds for believing that the recommendation is suitable for the customer upon the basis of the facts, if any, disclosed by the customer as to the customer's other...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1999
...sale or exchange of a government security, a bank that is a government securities broker or dealer shall have reasonable grounds for believing that the recommendation is suitable for the customer upon the basis of the facts, if any, disclosed by the customer as to the customer's other...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1999
...competence, professionalism, and good faith regardless of the financial circumstances of the customer. (c) In recommending to a customer the purchase, sale, or exchange of any government security, the bank shall have reasonable grounds for believing that the recommendation is...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1998
...competence, professionalism, and good faith regardless of the financial circumstances of the customer. (c) In recommending to a customer the purchase, sale, or exchange of any government security, the bank shall have reasonable grounds for believing that the recommendation is...
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Amendments to Securities Act of 1933. (exemption H.R. 5701 and H.R. 9319

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1956 - 786 páginas
...As examples of the work of such groups, consider the following rule of fair practice of the NASD : "In recommending to a customer the purchase, sale,...member shall have reasonable grounds for believing that recommendation is suitable for such customer upon the basis of the facts, if any, disclosed by such...
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Amendments to Securities Act of 1933 (exemptions).: Hearings Before the ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1956 - 786 páginas
...As examples of the work of such groups, consider the following rule of fair practice of the NASD : "In recommending to a customer the purchase, sale,...member shall have reasonable grounds for believing that recommendation is suitable for such customer upon the basis of the facts, if any, disclosed by such...
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Securities Markets Investigation: Hearings Before a Subcommittee of the ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1961 - 178 páginas
...? Mr. CLAFLIN. There is what we call section 2 of our "Rules of Fair Practice," which requires that in recommending to a customer the purchase, sale or...believing that the recommendation is suitable for such a customer upon the basis of the facts, if any disclosed by such customer, as to his other security...
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Report, Volumen1

United States. Securities and Exchange Commission. Special Study of Securities Markets - 1963
...clear under the express language of article III, section 2, of the Rules of Fair Practice of the NASD : In recommending to a customer the purchase, sale,...reasonable grounds for believing that the recommendation 1 Duker d Outer, 6 SEC 386 (1939). •Sec. 17(a) of the Securities Act and Bees. 10(b) and 15(c)(l)...
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