A security is exempt from Subsection 31A-5-303(3) if necessary for the execution by a broker of an order for an account in which the broker has no direct or indirect interest.

KEY: insurance law

Date of Last Change: June 9, 2023

Notice of Continuation: April 1, 2022

Authorizing, and Implemented or Interpreted Law: 31A-2-201; 31A-5-303