§ 6-17-1. Definitions. The following words and phrases used in this chapter, unless a different meaning is plainly required by the context, have the following meanings: (1) “Bucketing” or “bucket shopping” means: (i) The making of or offering to make any contract respecting the purchase or sale, either upon credit or upon margin, of any […]
§ 6-17-2. Penalties for violations. Any person who makes or offers to make any contract defined in § 6-17-1, or who is the keeper of any bucket shop, shall, upon conviction, be punished by a fine not exceeding one thousand dollars ($1,000), or by imprisonment for not more than one year. Any person who shall […]
§ 6-17-3. Ouster of corporation from doing business. If a domestic corporation shall be convicted of a second offense, the superior court shall have jurisdiction upon an action brought by the attorney general on the part of the state, and if a foreign corporation shall be convicted of a second offense, the superior court shall […]
§ 6-17-4. Furnishing quotations to aid prohibited contract. Any person who shall communicate, receive, exhibit, or display in any manner any statement of quotations of prices of any securities or commodities with an intent to make or offer to make, or to aid in making or offering to make, any contract prohibited by this chapter, […]
§ 6-17-5. Disclosure of terms and parties to transactions — Failure to disclose as evidence. Every person shall furnish, upon demand, to any customer or principal for whom the person has executed any order for the actual purchase or sale of any securities or commodities, either for immediate or future delivery, a written statement containing […]
