 The rules of a registered securities association may provide that no member thereof shall deal with any nonmember broker or dealer (as defined in paragraph (2) of this subsection) except at the same prices, for the same commissions or fees, and on the...  Decisions and Reports - Página 319por United States. Securities and Exchange Commission - 1955Vista completa - Acerca de este libro
 | United States. Securities and Exchange Commission - 1941 - 1192 páginas
...(k)-(l) ) . Under Section 15A (i) the rules of a registered association may provide that no member shall deal with any nonmember broker or dealer "except...are by such member accorded to the general public." The National Association of Securities Dealers, Inc. became effectively registered as a national securities... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - 148 páginas
...to join such an association. No member of the association will be permitted to deal with a nonmember "except at the same prices, for the same commissions...are, by such member, accorded to the general public." Through this boycott it is proposed to set up a guild, in many respects similar to the guilds which... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 108 páginas
...thereof shall deal with any nonmember broker or dealer (as defined in paragraph (2) of this subsection) except at the same prices, for the same commissions...are by such member accorded to the general public. "(2) For the purposes of this subsection, the term 'nonmember broker or dealer' shall include any broker... | |
 | United States - 1938 - 48 páginas
...thereof shall deal with any nonmember broker or dealer (as defined in paragraph (2) of this subsection) except at the same prices, for the same commissions...are by such member accorded to the general public. (2) For the purposes of this subsection, the term "nonmember broker or dealer" shall include any broker... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 98 páginas
...thereof shall deal with any nonmember broker or dealer (as defined in paragraph (2) of this subsection) except at the same prices, for the same commissions...are by such member accorded to the general public. "(2) For the purposes of this subsection, the term 'nonmember broker or dealer' shall include any broker... | |
 | United States. Securities and Exchange Commission - 1951 - 862 páginas
...thereof shall deal with any nonmember broker or dealer (as defined in paragraph (2) of this subsection) except at the same prices, for the same commissions...are by such member accorded to the general public. As a result of this section it is virtually impossible for a dealer who is not a member of the NASD... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 páginas
...to join such an association. No member of the association will be permitted to deal with a nonmember "except at the same prices, for the same commissions...are, by such member, accorded to the general public." Through this boycott it is proposed to set up a guild, in many respects similar to the guilds which... | |
 | United States. Securities and Exchange Commission - 1956 - 900 páginas
...thereof shall deal with any nonmember broker or dealer (as defined in paragraph (2) of this subsection) except at the same prices, for the same commissions...conditions as are by such member accorded to the general publ ic. (2) For the purposes of this subsection, the term "nonmember broker or dealer" shall include... | |
 | United States. Securities and Exchange Commission - 1950 - 948 páginas
...nonmember broker or dealer except at the same prices, for the same commissions or fees, and on the game terms and conditions as are by such member accorded to the general public. "(b) Without limiting the generality of the foregoing, no member shall "(1) in any transaction with... | |
 | United States - 1953 - 1692 páginas
...thereof shall deal with any nonmember broker or dealer (as denned in paragraph (2) of this subsection) (2) Por the purposes of this subsection, the term "nonmember broker or dealer" shall include any broker... | |
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