California Code
PART 3 - REGULATION AND NOTICE FILING REQUIREMENTS OF AGENTS, BROKER-DEALERS, INVESTMENT ADVISER REPRESENTATIVES, AND INVESTMENT ADVISERS
CHAPTER 1 - Exemptions

Section 25200. - 25200. A broker-dealer registered under the Securities Exchange Act of...

Section 25202. - 25202. (a) An investment adviser shall not be subject to...

Section 25203. - 25203. A person whose only clients are insurance companies shall...

Section 25204. - 25204. The commissioner may by such rules as he deems...

Section 25206. - 25206. A broker licensed by the Real Estate Commissioner is...

Section 25206.1. - 25206.1. (a) For purposes of this section, a “finder” is...

Section 25207. - 25207. A financial institution that undertakes activities with respect to...

Section 25208. - 25208. A person licensed as a capital access company under...

Section 25209. - 25209. Section 25210 shall not apply to an agent of...