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V-1.1 - Securities Act

Section 163
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163. (Repealed).
1982, c. 48, s. 163; 2009, c. 25, s. 29.
163. In no case may a dealer trade as principal in a security listed on a recognized stock exchange, except in accordance with the applicable rules of the exchange.
In the case of other securities, a dealer may trade as principal with a person other than a dealer, provided he states that he proposes to do so in every document and communication intended to promote transactions in a particular security. The statement does not prevent him from effecting transactions in the security as agent.
1982, c. 48, s. 163.
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