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This entry was published on 2014-09-22
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ARTICLE 21-A

Fraudulent Transactions In Securities

General Business (GBS) CHAPTER 20

ARTICLE 21-A

FRAUDULENT TRANSACTIONS IN SECURITIES
Section 339. Reporting or publishing fictitious transactions in

securities.

339-a. False statement or advertisement as to securities.

339-b. Manipulation of prices of securities.

339-c. Trading by brokers against customers' orders.

339-d. Transactions by brokers and dealers after insolvency.

339-e. Hypothecation of customer's securities.

339-f. Delivery to customers of memoranda of transactions by

brokers.