Rules of Fair Practice
Part of the NASD rules that govern the dealings of firms with the public.
RULES OF FAIR PRACTICE " NASD rules relating to a broker/dealer's transactions with the public. Every exchange and securities association has a similar set of rules.
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Rules of fair practice
Rules established by the NASD that lay down guidelines for just and equitable principles of trade and business in securities markets.
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Rules Of Fair Practice
FINRA rules that relate to a broker-dealer's conduct of business. In short, the basic rules are to: ...
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Immediate family Term used in the NASD rules of fair practice to refer to one's parents, brothers, sisters, children, relatives supported financially, father-in-law, mother-in-law, sister-in-law, and brother-in-law.
code of procedure The NASD guide for handling and adjudicating complaints filed against NASD members under its Rules of Fair Practice. codicil A legal amendment to a will.
Prohibited by the NASD rules of fair practice. Going away The type of bond purchased by dealers for immediate resale to investors, as opposed to purchasing bond, to hold for some amount of time, and then reselling it at a future date.
As defined in the NASD Rules Of Fair Practice, an immediate family member includes parents, brothers, sisters, children, father-in-law, mother-in-law, sister-in-law, brother-in-law, and any other relatives who are financially supported.
An association of brokers and dealers in the over-the-counter securities business organized to "adopt, administer, and enforce rules of fair practice and rules to prevent fraudulent and manipulative acts and practices, ...
Conduct Rules (formerly known as the Rules of Fair Practice): Rules maintained and enforced by the NASD that apply to general business activities of members.
A broker-dealer trades in a personal account prior to filling the orders of his or her clients. Prohibited by the NASD rules of fair practice.
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 See also: Banks, Expense, NASD, Margin account, Saving
  
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