...reviewing each transaction and indicating approval by initialling the sales memorandum, as required by the Rules of Fair Practice of the National Association of Securities Dealers, Inc. ("NASD") of which registrant was then a member, such endorsement, with Johnson's knowledge, was...

...Pike) Commissioner Frank not participating. 9 s. E. c. APPENDIX Proposed Addition to Article III of the Rules of Fair Practice of the National Association of Securities Dealers, Inc. 26. ( a ) This rule shall apply exclusively to the activities of members in connection with the...

...transactions on the part of the principal underwriters and dealers. Of. Bule 26 (J) (1) of Article III of the Rules of Fair Practice of the National Association of Securities Dealers, Inc. We do not mean to imply, however, that any sncb practice has In fact been engaged in by the principal...

...statutory scheme above referred to, as implemented by the various rules and regulations of the SEC and the rules of Fair Practice of the National Association of Securities Dealers, Inc. approved by • 43 • the SEC pursuant to legislative authority, contemplates the sale of each...

...Investment Company Act of 1940, and to the rules and regulations of the Securities and Exchange Commission. The rules of fair practice of the National Association of Securities Dealers apply to dealers in investment company securities, and the statement of policy of the Securities and...

...more of the cases the sales representative made no inquiry into these natters. It may be noted that the Rules of Fair Practice of the National Association of Securities Dealers requires that in recommending to a customer the purchase of my security, a broker-dealer must have...

...disapprove the proposed rule. Appendix follows on page 12. : r APPENDIX PROPOSED ADDITION TO ARTICLE III OF THE RULES OF FAIR PRACTICE OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. 26. (a) This rule shall apply exclusively to the activities of members in connection with the...

...authority under the federal securities laws to control the composition of financing syndications. However, the Rules of Fair Practice of the National Association of Securities Dealers, Inc., which we oversee, do provide that its members observe just and equitable principles of trade...

...authority under the federal securities laws to control the composition of financing syndications. However, the Rules of Fair Practice of the National Association of Securities Dealers, Inc., which we oversee, do provide that its members observe just and equitable principles of trade...

...wish to point out that the request of the Kuwait International Investment Company was in violation of the rules of Fair Practice of the National Association of Securities Dealers, Inc. (the "NASD"). Art III, Sec. 1, of those rules requires members to deal fairly among themselves...