# 6 Del. C. § 73-306: § Â 73-306. Trading markets

> Delaware · Statutes · In force

URL: https://www.frixlaw.com/law-library/statutes/STATE_DE_T6_C73_SIII_S73-306

## Section

- **Citation:** 6 Del. C. § 73-306
- **Heading:** § Â 73-306. Trading markets
- **Jurisdiction:** Delaware
- **Kind:** Statutes
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** Delaware Code / Title 6 / Chapter 73 / Subchapter III / Section 73-306

## Text

(a) It is unlawful for any broker-dealer, agent, investment adviser or investment adviser representative to effect transactions in, trade or quote any security unless such security is covered by regulations under the Securities Exchange Act of 1934 [15 U.S.C. § 78a et seq.] or unless the filing provisions of this chapter have been complied with in regard to such security.

(b) Except as provided otherwise by § 18 of the Securities Act of 1933 [15 U.S.C. § 77r], the Director is empowered to suspend trading in any security for a period of 10 days in the public interest.

## Nearby sections

- [6 Del. C. § 73-301 § Â
        73-301. Unlawful conduct for broker-dealers, agents, investment advisers, federal covered advisers and investment adviser representatives.](https://www.frixlaw.com/law-library/statutes/STATE_DE_T6_C73_SIII_S73-301.md)
- [6 Del. C. § 73-302 § Â
        73-302. Registration and notice filing procedure for broker-dealers, agents, investment advisers, federal covered advisers and investment adviser representatives.](https://www.frixlaw.com/law-library/statutes/STATE_DE_T6_C73_SIII_S73-302.md)
- [6 Del. C. § 73-303 § Â
        73-303. Post-registration provisions for broker-dealers, investment advisers and federal covered advisers.](https://www.frixlaw.com/law-library/statutes/STATE_DE_T6_C73_SIII_S73-303.md)
- [6 Del. C. § 73-304 § Â
        73-304. Denial, revocation, suspension, cancellation and withdrawal of registration of broker-dealers, agents, investment advisers and investment adviser representatives.](https://www.frixlaw.com/law-library/statutes/STATE_DE_T6_C73_SIII_S73-304.md)
- [6 Del. C. § 73-305 § Â
        73-305. Advisory activities.](https://www.frixlaw.com/law-library/statutes/STATE_DE_T6_C73_SIII_S73-305.md)
- [6 Del. C. § 73-306 § Â
        73-306. Trading markets.](https://www.frixlaw.com/law-library/statutes/STATE_DE_T6_C73_SIII_S73-306.md)
- [6 Del. C. § 73-307 § Â
        73-307. Protection of vulnerable adults from financial exploitation.](https://www.frixlaw.com/law-library/statutes/STATE_DE_T6_C73_SIII_S73-307.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/STATE_DE_T6_C73_SIII_S73-306. Check the current official text before relying on it. Not legal advice.