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" Use due diligence to learn the essential facts relative to every customer, every order, every cash or margin account accepted or carried by such organization... "
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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Stock Exchange Practices: Hearings Before the Committee on ..., Partes1-3

United States. Congress. Senate. Committee on Banking and Currency - 1932
...securities, nor shall any such employee exercise such discretion. SEC. 10. Every member is required to use due diligence to learn the essential facts relative to every customer and to every order or account accepted by him ; also as to the possible use of a name for the account...
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Decisions and Reports, Volumen18

United States. Securities and Exchange Commission - 1950
...with and is acceptable to the Exchange. RULE 504. Every member firm Is required through a partner to use due diligence to learn the essential facts relative...cash or margin account accepted or carried by such firm and every person holding power of attorney over any account accepted or carried by such firm....
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Report, Volumen1

United States. Securities and Exchange Commission. Special Study of Securities Markets - 1963
..."know your customer" rule, which requires general partners and officers of member organizations to "use due diligence to learn the essential facts relative to every customer * * * " ™ While there is some doubt as to the extent to which the exchange regards this rule as a...
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Securities Markets Agencies, Hearings Before the Subcommittee on Commerce ...

United States. Congress. House. Interstate and Foreign Commerce - 1969 - 442 páginas
...its marketplace. Supervision Exchange Rule 411 requires every member and member organization (1) to use due diligence to learn the essential facts relative to every customer, and (2) to supervise diligently, either personally or through a general partner or officer, all accounts...
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Securities Markets Agencies: Hearings, Ninety-first Congress, First Session

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1969 - 442 páginas
...its marketplace. Supervision Exchange Rule 411 requires every member and member organization (1) to use due diligence to learn the essential facts relative to every customer, and (2) to supervise diligently, either personally or through a general partner or officer, all accounts...
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Reports on Banks Securities Activities of the Securities and Exchange ...

United States. Securities and Exchange Commission - 1977 - 549 páginas
...Guide (CCH) 12411 (1976). These "know your customer" rules typically require member brokerdealers to use due diligence to learn the essential facts relative to every customer and to supervise diligently all accounts. Id. t However, for several reasons, this Report will discuss...
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Report of the Special Study of the Options Markets to the Securities and ...

United States. Securities and Exchange Commission. Special Study of the Options Markets - 1979 - 1084 páginas
...to buy or sell listed stocks or bonds. However , both exchanges do impose on member firms a duty to use "due diligence to learn the essential facts relative to every customer." 18/ Although this requirement, to "know your customer", might have been designed orioinally to protect...
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U.S. Government Securities: More Transaction Information and Investor ...

United States. General Accounting Office - 1990 - 112 páginas
...complaints from customers to the Exchange. NYSE also has a suitability rule that requires member firms to use due diligence to learn the essential facts relative to every customer, every order, and every account. Regarding mark-up practices, NYSE uses its rules requiring good business practice...
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Government Securities Reform: Hearings Before the Subcommittee on ..., Volumen4

United States, United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1993 - 216 páginas
...after an initial trade is executed but before settlement. In addition, the rule requires each member to "use due diligence to learn the essential facts relative...organization and every person holding power of attorney over the account. . . " In addition, Rule I7a-3(a)(9) under the Exchange Act requires broker-dealers registered...
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Securities Arbitration for Brokers, Attorneys, and Investors

J. Kirkland Grant - 1994 - 425 páginas
...Customer" Rule. The NASD and SROs require that, "every member organization [broker] is required ... to ... [u]se due diligence to learn the essential facts relative...of attorney over any account accepted or carried by such organization."5 c) Violation of Exchange Rules . Unfortunately, investors do not have a private...
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