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V-1 - Securities Act
Section 71
Disposition versions
71. No broker, security issuer or salesman shall be entitled to trade in securities before he has received written notice of his registration.
No investment counsel shall be entitled to engage in any activity as such before he has received such notice.
No broker, security issuer, investment counsel or salesman shall declare, directly or indirectly, that he is registered under the provisions of this act, or exhibit to any person the original or a copy of any document or letter received from an officer of the Commission on such subject, or announce his registration in any other manner, except by replying to persons questioning him on the subject that he is registered under such a name and such a number.
No person or company shall make any representation, written or oral, that the Commission has approved the financial standing, competence, ability, conduct or operations of a broker, security issuer, investment counsel or salesman or that it has passed upon the merits of a security.
Every contravention of a provision of this section shall constitute an offence.
