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|See, e.g., Dealings by Members on the Exchange, 2 NYSE Guide (CCH) ¶ 2090, |
Rule 90 (1979); Taking or Supplying Securities Named in Order, 2 NYSE Guide (
CCH) ¶ 2091, Rule 91 (1976); Limitations on Members' Trading Because of ...
|564 NYSE Rule 382 requires that every such agreement, where one or both of |
the parties is a member firm of the Exchange, be submitted to and ... 567 NYSE
Rule 382(c), NYSE Guide (CCH) ¶2,382(c) (1990); NYSE Information Memo No.
|... N.Y. St. R., N.Y. St. Rep.,N.Y. St. Repr.,N.Y. StateR.,N.Y. State Rep.,S.R.,StateR|
., StateRep., State Reporter New York Stock Exchange N.Y.S.E. New York Stock
Exchange Guide(CCH) N.Y.S.E.,N.Y.S.E. Guide(CCH) New York Superior Court
|NYSE, CCH FED. Sec. L. REP. 11 93,037 (N.D. Tex. 1971). The Gordon court |
held that challenges to limited exchange access rules were “frivolous,” since
section 3(a)(3) so clearly contemplates limitations on membership and
|134. Id. §7.4. 135. American Stock Exchange Listing Agreement §1, 113, 3 Am. |
Stock Ex. Guide (CCH) 8955. See NYSE Guide (CCH) A17; NASD Manual (CCH)
2073, <17. 136. 1934 Act, §§12(f) (3), (4), (k); 17 C.F.R. 240.12d2-l, 12f-3(1979).
|NYSE Rule 405 required its member firms “to use due diligence to learn the |
essential facts relative to every customer [and] ... NYSE Rule 405, 2 N.Y.S.E.
Guide (CCH) 4057 [hereinafter NYSE Guide]; see also G. Thomas Fleming III &
|Includes an historical section, which gives the annual "NYSE Common Stock |
Index" for about 30 years. Their Monthly Review has current ... Chicago. 3
volumes. This is the official guide prepared by CCH for the NYSE and covering
|NYSE, CCH Fed. Sec. L. Rep. 11 93,210 (N.Y.Sup.Ct. , 1971) . H. Weinberger v. |
NYSE, F. Supp. , CCH Fed. Sec. L. Rep. II 93,304 (S.D.N.Y. 1971) . I. Rich v.
NYSE, F. Supp. , CCH Fed. Sec. L. Rep. 11 94,736 (S.D.N.Y. 1974). J. Sloan v.
|the in pari delicto defense to bar Wolfson's claim unc circumstances of this case, |
we need not and do not whether an implied federal cause of action exists for a of
NYSE Rule 405", 2 NYSE Guide CCH fl 2405 ("know your customer" rule), ...
|(S.D.N.Y. 1971), CCH Fed. Sec. L. Rep. 1 93,131. B. Intercontinental Industries, |
Inc. v. AMEX, 452 F.2d 935 (CA. 5, 1971). C. Silver v. NYSE, 373 U.S. 341 (1963).
D. Baird v. Franklin, 141 F.2d 238 (CA. 2, 1944). E. Pettit v. AMEX, 217 F. Supp.
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