rules of fair practice การใช้

• As the Solicitor General reminds us, one NASD rule is not before us, namely Rule 21 ( f ) ( 4 ) of the NASD Rules of Fair Practice, which reads:
• Rosenberg allegedly violated the NASD Rules of Fair Practice and two sections of the Securities Exchange Act of 1934 that prohibit a broker-dealer in a stock from actively bidding for and purchasing that stock.
• So the NASD, a self-governing body for the securities industry, has proposed amendments to its Rules of Fair Practice that would limit incentive payments to brokers who sell mutual funds and variable contract securities.
• Revealing further warts is Olde's most recent " Form BD " ( stands for " broker-dealer " ), which notes that it was fined for a violation of the National Association of Securities Dealers rules of fair practice in 1994.