...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...

...Rnle 15blQ-2. General Business Conduct Every nonmember broker or dealer and associated person shall observe high standards of commercial honor and just...equitable principles of trade in the conduct of his business. (Adopted July 27, 1967, Release 34-8135, eff. Oct 2, 1867.) Rule 15blO-3. Suitability of...

...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...

...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...

...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...

...10.1511 10- 2 General business conduct. Every nonmember broker or dealer and associated person shall observe high standards of commercial honor and just...equitable principles of trade in the conduct of his business. [32 FR 11639, Aug. 11, 1967] §240.15blO-3 Suitability of recommendations. Every nonmember...

...240.15ЫО-2 General business conduct. Every nonmember broker or dealer and associated person shall observe high standards of commercial honor and just...equitable principles of trade in the conduct of his business. [32 PR 11639, Aug. 11, 1967] § 240.15ЫО-3 Suitability of recommendations. Every nonmember...

...$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 to customers. In...

...pursuant to section 15A of the Securities Exchange Act of 1934, and generally is designed to promote high standards of commercial honor and just and equitable principles of trade in the securities business. A very large percentage of the membership of our association has a vital interest...