New York § 339-F Delivery to customers of memoranda of transactions by brokers

New York Statutes

§ 339-F — Delivery to customers of memoranda of transactions by brokers

New York § 339-F

Law GBSGeneral Business

Art. 21-AFraudulent Transactions In Securities

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Bluebook

N.Y. General Business § 339-F (2026).

Text

  § 339-f. Delivery to customers of memoranda of transactions by\nbrokers. A person engaged in the business of purchasing or selling as\nbroker stocks, bonds and other evidences of debt of corporations,\ncompanies or associations shall deliver to each customer on whose behalf\na purchase or sale of such securities is made by him a statement or\nmemorandum of such purchase or sale, a description of the securities\npurchased or sold, the name of the person, firm or corporation from whom\nsuch securities were purchased, or to which the same were sold, and the\nday, and the hours between which the transaction took place.  A broker\nwho refuses to deliver such statement or memorandum to a customer within\ntwenty-four hours after a written demand therefor, or who delivers a\nstatement or memoran

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§ 339-f. Delivery to customers of memoranda of transactions by\nbrokers. A person engaged in the business of purchasing or selling as\nbroker stocks, bonds and other evidences of debt of corporations,\ncompanies or associations shall deliver to each customer on whose behalf\na purchase or sale of such securities is made by him a statement or\nmemorandum of such purchase or sale, a description of the securities\npurchased or sold, the name of the person, firm or corporation from whom\nsuch securities were purchased, or to which the same were sold, and the\nday, and the hours between which the transaction took place. A broker\nwho refuses to deliver such statement or memorandum to a customer within\ntwenty-four hours after a written demand therefor, or who delivers a\nstatement or memorandum which is false in any material respect, is\nguilty of a misdemeanor.\n