Body of prior experience establishing "normal investment practice" with respect to the account relationship between a member firm and its customer. For example, the Rules of Fair Practice of the National Association of Securities Dealers (NASD) prohibit the sale of a new issue to members of a distributing dealer's immediate family, but if there was sufficient precedent in the investment history of this particular dealer-customer relationship, the sale would not be a violation.
Investment History
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 | Financial & Investment Dictionary. Dictionary of Finance and Investment Terms. Copyright © 2006 by Barron's Educational Series, Inc. All rights reserved. Read more |
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