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Home/Legislation/Securities Industry Act 1980/43

CTHRepealedAct

Securities Industry Act 1980

43Dealers

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##### 43 Dealers A person shall not carry on, or hold himself, herself or itself out as carrying on, a securities business unless the person holds a dealers licence or is a recognised dealer or an exempt dealer. Penalty: $5,000 or imprisonment for 1 year, or both.

Previous sectionPart IVParticipants in the securities industry Next section45Investment advisers

Section 43 - Securities Industry Act 1980 - Dealers — Zoe