California Code
PART 3 - REGULATION AND NOTICE FILING REQUIREMENTS OF AGENTS, BROKER-DEALERS, INVESTMENT ADVISER REPRESENTATIVES, AND INVESTMENT ADVISERS
CHAPTER 2 - Licensing of Agents and Broker-Dealers

Section 25210. - 25210. (a) Unless exempted under the provisions of Chapter 1...

Section 25211. - 25211. (a) The application for a certificate as a broker-dealer...

Section 25211.5. - 25211.5. A broker-dealer acting pursuant to a certificate which is...

Section 25212. - 25212. The commissioner may, after appropriate notice and opportunity for...

Section 25212.1. - 25212.1. The commissioner may immediately revoke by order the certificate...

Section 25213. - 25213. The commissioner may, after appropriate notice and opportunity for...

Section 25213.3. - 25213.3. The commissioner shall, after appropriate notices and opportunity for...

Section 25214. - 25214. (a) It is unlawful for any person, as to...

Section 25215. - 25215. No order may be entered under Section 25212, 25213,...

Section 25216. - 25216. (a) No broker-dealer or agent shall effect any transaction...

Section 25217. - 25217. (a) A broker-dealer licensed under this chapter shall not...

Section 25218. - 25218. No broker-dealer licensed under this chapter shall effect any...

Section 25219. - 25219. Notwithstanding any other provision of this division, if in...

Section 25220. - 25220. At any time after the issuance of an order...

Section 25221. - 25221. (a) Notwithstanding any other provision of law, a broker-dealer,...