 | Jane K. Winn, Benjamin Wright - 2000 - 2519 páginas
...customer" standards to firms providing day-trading accounts. In addition, the NYSE requires brokers to "use due diligence to learn the essential facts relative...account accepted or carried by such organization, and 96'5 NASD Rule 2110 requires members to to observe high standards of commercial honor and just and... | |
 | United States. Congress. House. Committee on Financial Services - 2002 - 216 páginas
...405 has provided that "each member organization is required ... to ... [u] se due diligence to leam the essential facts relative to every customer, every...of attorney over any account accepted or carried by such organization." The NASD's Conduct Rules, as well as NYSE's Rule 405, generally require that securities... | |
 | Ann E. Georgehead, David A. Soley, Robert Y. Gwin - 2005 - 366 páginas
...executive officer or a person or persons designated under the provisions of Rule 342(b)(l) [12342] to (1) use due diligence to learn the essential facts relative...of attorney over any account accepted or carried by such organization. See also the National Association of Securities Dealers Conduct Rule 2310, which... | |
 | Daniel R. Solin - 2006 - 326 páginas
...investor. In a similar vein, NYSE Rule 405 requires: . . . every member organization . . . to ( 1 ) Use due diligence to learn the essential facts relative...accepted or carried by such organization . . . and (2) Supervise diligently all accounts handled by registered representatives of the organization. American... | |
| |
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... 
