The AWC charged Hemingway with violating NASD Conduct Rules 3030 and FINRA Rule 2010 (and its predecessor NASD Rule 2110).
Further, by producing and then distributing these summaries to his customers, Iola was deemed to have violated NASD Conduct Rules 2110 (for conduct before December 15, 2008), 2210(d)(1)(A) and 2210(d)(1)(B), and FINRA Rule 2010 (for conduct after December 14, 2008).
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Ultimately, the AWC alleged that Hesse had failed to reasonably supervise President Esposito and also failed to reasonably review the trades and wire transmissions directed by the Client for potentially suspicious activity and other irregularities, in violation of NASD Conduct Rules 3010 and 2110 and FINRA Rule 2010.
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Based upon the above allegations, the AWC asserted that Weiss knew or should have known that the answers provided by the two reps on the Outside Business Activity Disclosure Statements were inaccurate, resulting in his failure to properly supervise in accordance with NASD Conduct Rule 3030: Outside Business Activities of an Associated Person, which caused violations of NASD Conduct Rules 3010: Supervision and 2110: General Standards.
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It's much more about establishing new deterrence, new rules of conduct and new rules of the game.
Whether in the form of the Geneva Conventions, rules of engagement, or codes of conduct, those rules help define the scope of the battle and provide at least some clarity to the participants on what they can expect from their opponent.
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Securities, antitrust and employment suits all provide great opportunities for the court to clarify rules of conduct and reduce uncertainty, he said--if the justices avoid the temptation to bend the rules when they might seem unfair.
The advice to bidding cities continues with rules of conduct which bidding cities have to adhere to.
But parliamentarians met with a bullish minister who said he had followed the rules of conduct for MSPs.
Where force is necessary, we have a moral and strategic interest in binding ourselves to certain rules of conduct.
They symbolize generosity, tolerance, inoffensiveness and mastery of knowledge, embodying the rules of conduct that they advocate for others.
In the absence of codified rules of conduct, it is not merely possible that the rich and powerful will get the better of ordinary citizens.
Surely, they won't be like Renaissance Venetians who, when feeling punk, wantonly harvested the Padua garden, necessitating the construction of a wall, big gates, and columns at the entrance etched with the rules of conduct.
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In order to be effective, a regulator must build partnerships and encourage stakeholders to take an active role in safeguarding the rules of conduct, not punish the innocent majority for the crimes of the few.
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But the real regional dimension to all this, and what is bringing them together, is that in all cases what this is about is parties trying to establish new rules of the game, rules of conduct, a new balance of power in the region.
The rules of the conduct of war continue to be widely violated, it says sadly.
"We introduced rules on unacceptable conduct last season, in line with the laws of the land, " a spokesman said.
After months of evidence, Lord Leveson is deciding whether to recommend new rules governing the conduct of the UK media.
The ABA is looking closely at amending the Model Rules of Professional Conduct to reflect the realities of technology in practice.
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In return they receive a document of "sheepskin parchment", a book entitled Rules for the Conduct of Life and the title Citizen of London.
But he said he would welcome rules governing politicians conduct online.
There have been a number of tensions between the cities ahead of the decision next July, even though the International Olympic Committee has strict rules to regulate conduct.
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The CIA must now conduct interrogations according to the rules of the Army Field Manual, which prohibits coercive techniques, threats and promises, and the good-cop bad-cop routines used in police stations throughout America.
Iraq and the United States have been negotiating agreements that will detail their relationship in all areas, including rules governing the conduct of American troops in Iraq, where civilians and political officials are concerned about sovereignty.
He said unless there was legislation to curb the number of special advisers and give legal force to the rules governing their conduct, the issue would continue to "fester" damaging both the government and the civil service.
The deal signed by Mr Cameron and Mr Salmond will also see Holyrood legislate for the date of the referendum, whether to reduce the voting age to 16, the wording of the question, campaign finance rules and the conduct of the referendum.
He also has served as Executive Assistant U.S. Attorney for Operations, and as Special Counsel to the U.S. Attorney for Professional Development and Legal Policy, and he advises and trains Assistant U.S. Attorneys on issues involving ethics and the Rules of Professional Conduct.
In his May 15 letter to Brooklyn Supreme Court Judge Danny Chun, Mr. Shargel charged that the decision to broadcast "behind the scenes" footage of prosecutors preparing for his client's trial was a "clear violation" of the New York Rules of Professional Conduct, which lawyers are mandated to follow.
The current antitrust rules for limiting anticompetitive conduct by monopolists focus on forcing monopolists to share access to their goods or services.
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Mr. AL ATER (Louisiana Secretary of State): The Louisiana legislature makes laws and gives us the rules in which to conduct an election by.
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