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V-1 - Securities Act

Section 72
Disposition versions

Full text
72. No salesman shall trade in securities for a broker or security issuer other than the one for whom he is registered as a salesman, unless the written consent of the broker or security issuer for whom he is registered has been filed with the Commission and the latter has registered him as a salesman for the other broker or security issuer.
Failure, without reasonable excuse, to comply with the provisions of this section shall constitute an offence.
R. S. 1964, c. 274, s. 55.
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