 | United States. Securities and Exchange Commission - 1958 - 1232 páginas
...business, shall observe high standards of comnerdal honor and just and equitable principles of trade." •'In recommending to a customer the purchase, sale...reasonable grounds for believing that the recommendation Is •altable for such customer upon the basis of the facts, If any, disclosed by such customer as to... | |
 | United States. Securities and Exchange Commission - 1952 - 920 páginas
...business, shall observe high standards of commercial honor and just and equitable principles of trade. "2. In recommending to a customer the purchase, sale or exchange of any security, a umber shall have reasonable grounds for believing that the recommendation is suitable for neh customer... | |
 | 1999 - 348 páginas
...sale or exchange of a government security, a bank that is a government securities broker or dealer shall have reasonable grounds for believing that the recommendation is suitable for the customer upon the basis of the facts, if any, disclosed by the customer as to the customer's other... | |
 | 2002 - 608 páginas
...sale or exchange of a government security, a bank that is a government securities broker or dealer shall have reasonable grounds for believing that the recommendation is suitable for the customer upon the basis of the facts, if any, disclosed by the customer as to the customer's other... | |
 | 1999 - 544 páginas
...competence, professionalism, and good faith regardless of the financial circumstances of the customer. (c) In recommending to a customer the purchase, sale, or exchange of any government security, the bank shall have reasonable grounds for believing that the recommendation is... | |
 | 1998 - 512 páginas
...competence, professionalism, and good faith regardless of the financial circumstances of the customer. (c) In recommending to a customer the purchase, sale, or exchange of any government security, the bank shall have reasonable grounds for believing that the recommendation is... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1956 - 812 páginas
...As examples of the work of such groups, consider the following rule of fair practice of the NASD : "In recommending to a customer the purchase, sale,...member shall have reasonable grounds for believing that recommendation is suitable for such customer upon the basis of the facts, if any, disclosed by such... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1956 - 806 páginas
...As examples of the work of such groups, consider the following rule of fair practice of the NASD : "In recommending to a customer the purchase, sale,...member shall have reasonable grounds for believing that recommendation is suitable for such customer upon the basis of the facts, if any, disclosed by such... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1961 - 190 páginas
...? Mr. CLAFLIN. There is what we call section 2 of our "Rules of Fair Practice," which requires that in recommending to a customer the purchase, sale or...believing that the recommendation is suitable for such a customer upon the basis of the facts, if any disclosed by such customer, as to his other security... | |
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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... 
