60HDisclosure to client by representative

##### 60H Disclosure to client by representative A person (in this section called the representative) shall not do as a representative of another person (in this section called the principal) an act by virtue of which the principal deals in securities with a non‑dealer on the principal’s own account unless the representative has informed the non‑dealer that the principal is acting in the transaction as principal and not as agent. Penalty: $2,500 or imprisonment for 6 months, or both.