6 Del. C. § 73-306: Trading markets.
Where this section sits in the code
- Title 6. Commerce and Trade
- SUBTITLE IV
- Commercial Development
- CHAPTER 73. Securities Act
- Subchapter III. Provisions Relating to Broker-Dealers, Broker-Dealer Agents, Issuer Agents, Investment Advisers, Federal Covered Advisers, and Investment Adviser Representatives
(a) It is unlawful for any broker-dealer, agent, investment adviser or investment adviser representative to effect transactions in, trade or quote any security unless such security is covered by regulations under the Securities Exchange Act of 1934 [15 U.S.C. § 78a et seq.] or unless the filing provisions of this chapter have been complied with in regard to such security.
(b) Except as provided otherwise by § 18 of the Securities Act of 1933 [15 U.S.C. § 77r], the Director is empowered to suspend trading in any security for a period of 10 days in the public interest.
Collected 2026-09-05T23:02:08Z. Source file · JSON