• South Carolina Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the South Carolina securities laws that are generally applicable in FINRA arbitrations. SUBARTICLE 5 FRAUD AND LIABILITIES 13-501. Dishonest or Unethical Practices by Broker-Dealers and Agents. SC ADC 13-501 A. Broker-Dealers. Each

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  • Rhode Island Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the Rhode Island securities laws that are generally applicable in FINRA arbitrations. RULE 212(a)-1 UNETHICAL OR DISHONEST PRACTICES Under authority of Section 705(a)(3), the director hereby defines the term “unethical or dishonest

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  • Oregon Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the Oregon securities laws that are generally applicable in FINRA arbitrations. 441-205-0140 Suitability of Recommendations It shall constitute a “Fraudulent, Deceptive, or Manipulative Act or Practice,” as used in these rules,

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  • Oklahoma Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the Oklahoma securities laws that are generally applicable in FINRA arbitrations. 660:11-7-42. Standards of ethical practices (a) Purpose. This rule is intended to set forth the standards of ethical practices for investment advisers and

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  • Ohio Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the Ohio securities laws that are generally applicable in FINRA arbitrations. 1301:6-3-19 Deceptive practices and good business repute. (A) No dealer or salesperson shall: (1) Engage in any pattern of unreasonable or unjustified delay in

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  • North Dakota Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the North Dakota securities laws that are generally applicable in FINRA arbitrations. 73-02-09-02. Unethical practices of dealers. The purpose of this section is to identify practices in the securities business which are dishonest or

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  • North Carolina Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the North Carolina securities laws that are generally applicable in FINRA arbitrations. 18 NCAC 06A .1414 DISHONEST/UNETHICAL PRACTICES OF DEALERS AND SALESMEN a) All dealers and salesmen shall observe high standards of commercial honor and

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  • New Mexico Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the New Mexico securities laws that are generally applicable in FINRA arbitrations. 12.11.4.15 PROHIBITED BUSINESS PRACTICES BY BROKER-DEALERS: The following are deemed to be unethical and dishonest conduct or practices by a broker-dealer

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  • New Hampshire Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the New Hampshire securities laws that are generally applicable in FINRA arbitrations. Section 421-B:3-a 421-B:3-a Suitability of Recommendation; Reasonable Grounds Required. – I. In recommending to a customer the purchase, sale, or

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  • Nevada Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the Nevada securities laws that are generally applicable in FINRA arbitrations. (h) In connection with the solicitation of the purchase or sale of any equity security traded over the counter, other than a security included in the Nasdaq

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