New York General Business Law Article 21-A - FRAUDULENT TRANSACTIONS IN SECURITIES

• 339 - Reporting or Publishing Fictitious Transactions in Securities.
  A person who, with intent to deceive, reports or publishes, or causes to be reported or published as a purchase or sale of the stocks,...
• 339-a - False Statement or Advertisement As to Securities.
  Any person, who, with intent to deceive, makes, issues or publishes, or causes to be made, issued or published, any statement or advertisement as to...
• 339-b - Manipulation of Prices of Securities.
  Any person, who inflates, depresses, or causes fluctuations in, or attempts to inflate, depress or cause fluctuations in, or combines or conspires with any other...
• 339-c - Trading by Brokers Against Customers' Orders.
  A broker, who, being employed by a customer to buy and carry upon margin the stocks, bonds or other evidences of debt of a corporation,...
• 339-d - Transactions by Brokers and Dealers After Insolvency.
  Any person, firm, association or corporation engaged in the business of purchasing and selling as broker or dealer, stocks, bonds or other evidences of debt...
• 339-e - Hypothecation of Customer's Securities.
  Any person, firm, association or corporation engaged in the business of purchasing and selling as a broker or dealer stocks, bonds or other evidences of...
• 339-f - Delivery to Customers of Memoranda of Transactions by Brokers.
  A person engaged in the business of purchasing or selling as broker stocks, bonds and other evidences of debt of corporations, companies or associations shall...

Last modified: February 3, 2019