§ 339 Reporting or Publishing Fictitious Transactions in Securities
§ 339-A False Statement or Advertisement as to Securities
§ 339-B Manipulation of Prices of Securities
§ 339-C Trading by Brokers Against Customers’ Orders
§ 339-D Transactions by Brokers and Dealers After Insolvency
§ 339-E Hypothecation of Customer’s Securities
§ 339-F Delivery to Customers of Memoranda of Transactions by Brokers

Terms Used In New York Laws > General Business > Article 21-A - Fraudulent Transactions in Securities

  • Contemplation of death: The expectation of death that provides the primary motive to make a gift.
  • Corporation: A legal entity owned by the holders of shares of stock that have been issued, and that can own, receive, and transfer property, and carry on business in its own name.
  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • Lien: A claim against real or personal property in satisfaction of a debt.
  • Misdemeanor: Usually a petty offense, a less serious crime than a felony, punishable by less than a year of confinement.
  • Tort: A civil wrong or breach of a duty to another person, as outlined by law. A very common tort is negligent operation of a motor vehicle that results in property damage and personal injury in an automobile accident.
  • Trustee: A person or institution holding and administering property in trust.