 | Richard J. Hillman - 2006 - 86 páginas
...companies and their agents. MNASD Rule 2310, Recommendations to Customers (Suitability), states that in recommending to a customer the purchase, sale, or exchange of any security, a brokerdealer is required to have "reasonable grounds for believing that the recommendation is suitable... | |
 | Robert Mark Walker - 2006 - 363 páginas
...Maybe you're beginning to lose interest in this fascinating material? Hmm. In any case, the phrase "upon the basis of the facts, if any, disclosed by such customer," means that if the customer refuses/declines to disclose facts about her other securities holdings,... | |
 | Robert Mark Walker - 2006 - 245 páginas
...excessive in size or frequency in view of the financial resources and character of the account; c. Recommending to a customer the purchase, sale or exchange of any security without reasonable grounds to believe that such transaction or recommendation is suitable for the customer... | |
 | Robert Walker - 2006 - 462 páginas
...excessive in size or frequency in view of the financial resources and character of the account; c. Recommending to a customer the purchase, sale or exchange of any security without reasonable grounds to believe that such transaction or recommendation is suitable for the customer... | |
 | Robert Mark Walker - 2007 - 527 páginas
...etc. This next rule is perfectly clear as is: 2310. Recommendations to Customers (Suitability) (a) In recommending to a customer the purchase, sale or...his other security holdings and as to his financial situation and needs. (b) Prior to the execution of a transaction recommended to a noninstitutional... | |
 | United States. Cngress. Senate. Banking, Housing and Urban Affairs Committee - 1974 - 550 páginas
...the general public. «Substantially the same as the NASD Manual. -14»Recommendations to Customers In recommending to a customer the purchase, sale or...upon the basis of the facts« if any, disclosed by auch customer as to his other security holdings and as to his financial situation and needs. *Business... | |
 | United States. Securities and Exchange Commission - 1991
...of the NASD's Rules of Fair Practice provides that, "in recommending to a customer the purchase, ... of any security, a member shall have reasonable grounds...believing that the recommendation is suitable for such 'The NASD also assessed costs. customer upon the basis of the fac(s, if any, disclosed by such customer... | |
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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... 
