The AWC alleged that such conduct resulted in violations by Turo of NASD Rule 2110 for conduct prior to December 15, 2008, and of FINRA Rule 2010 for conduct on or after that date.
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The inspector general's office said it would refer the matter to the Justice Department's Office of Professional Responsibility to determine whether he had violated rule of professional conduct for any state bars of which he is a member.
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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"The high respect that is owed to the office of the chief executive, though not justifying a rule of categorical immunity, is a matter that should inform the conduct of the entire proceeding, " wrote Stevens.
In conducting its business in this manner, the firm failed to observe the high standards of commercial honor and just and equitable principles of trade required by NASD Conduct Rule 2110 and FINRA Rule 2010.
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These NPEs must uncover evidence of infringement, rule out prior art and inequitable conduct, and interact at length with the patent office.
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In the assembly on Tuesday, Mr Givan expressed concern that Mr Maskey was not acting within the MLAs' code of conduct with regard to upholding the rule of law and promoting good community relations.
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We diligently conduct surveillance of the marketplace, investigating rule breaches, referring suspected criminal cases to government authorities and assisting them with their investigations.
By engaging in this conduct, Casper committed numerous violations of FINRA Rule 8210 and, by virtue of those violations, FINRA Rule 2010.
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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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Decent governance, rule of law and a willingness to employ science, such as genetic engineering, to conduct agriculture under stressed conditions (here the European Union is complicit in Luddite folly) could foster a breadbasket.
Without Volcker Rule, Prudential would conduct much more to steal in order to meet her predetermined ROE of 13% to 14% for 2012.
Based on evidence submitted by Enforcement, the FINRA Hearing Panel found that Wheeler falsified his test score and that such conduct violated the high standards of commercial honor and integrity embodied in FINRA Rule 2010.
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The suitability rule is fundamental to fair dealing and is intended to promote ethical sales practices and high standards of professional conduct.
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Finally, House Republicans should pass legislation removing the discretionary monetary policy powers of the Federal Reserve, mandating it to conduct monetary policy in accordance with a price rule following market prices for gold, silver, oil and other commodities.
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Further, the NYSE and NYSE Euronext are required to retain an independent consultant to conduct a comprehensive review of their market data delivery systems to ensure that they comply with Rule 603(a).
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