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V-1 - Securities Act

Section 65
Disposition versions

Full text
65. Every broker shall keep a record showing, in addition to the information mentioned in section 64:
(a)  the name of the person or company from, to or through whom or which securities were bought or sold;
(b)  the name of the salesman having acted as mandatary, agent or employee of the broker or for the latter in the case of each sale;
(c)  in the case of a member of a stock exchange, the hours between which the transaction took place and the name of the stock exchange on which it was effected.
Every broker, at any time within two years after a transaction, must furnish his customer, on demand, with the details of the transaction mentioned in the foregoing subparagraphs a and b.
R. S. 1964, c. 274, s. 48.
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