A person who engages in the business of effecting transactions in securities for the account of others or for the person's own account or who acts as a broker-dealer or agent may not engage in dishonest or unethical practices in the securities or investment advisory business.

Added by Acts 2017, c. 837, § 1, eff. Oct. 1, 2017; Acts 2017, c. 838, § 1, eff. Oct. 1, 2017.