N.Y. General Business Law § 339-F
Delivery to customers of memoranda of transactions by brokers
New York · New York General Business Law · Status: effective · Effective 2014-09-22
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- N.Y. General Business Law § 339-F, Delivery to customers of memoranda of transactions by brokers, New York, version 1 as recorded 2026-07-25, yourstate.us, https://yourstate.us/provision/1107985
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Full text
§ 339-f. Delivery to customers of memoranda of transactions by
brokers. A person engaged in the business of purchasing or selling as
broker stocks, bonds and other evidences of debt of corporations,
companies or associations shall deliver to each customer on whose behalf
a purchase or sale of such securities is made by him a statement or
memorandum of such purchase or sale, a description of the securities
purchased or sold, the name of the person, firm or corporation from whom
such securities were purchased, or to which the same were sold, and the
day, and the hours between which the transaction took place. A broker
who refuses to deliver such statement or memorandum to a customer within
twenty-four hours after a written demand therefor, or who delivers a
statement or memorandum which is false in any material respect, is
guilty of a misdemeanor.