| United States. Securities and Exchange Commission - 1956 - 716 pages
...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... | |
| United States. Securities and Exchange Commission - 1943 - 1160 pages
...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... | |
| United States. Securities and Exchange Commission - 1944 - 1290 pages
...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... | |
| 1950 - 634 pages
...of the Securities Act of 1933 and the Securities Exchange Act of 1934, the regulations thereunder, and the Rules of Fair Practice of the National Association of Securities Dealers, Inc. ("NASD"), which were promulgated with the approval of the Securities and Exchange Commission ("SEC")... | |
| United States. Congress. Senate. Committee on Banking and Currency - 1955 - 1038 pages
...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... | |
| United States. Securities and Exchange Commission - 1967 - 112 pages
...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... | |
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