California Code
DIVISION 1 - CORPORATE SECURITIES LAW OF 968
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...

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,...

CHAPTER 3 - Licensing and Notice Filing Requirements of Investment Adviser Representatives and Investment Advisers

Section 25230. - 25230. (a) It is unlawful for any investment adviser to...

Section 25230.1. - 25230.1. (a) A person that is registered under Section 203...

Section 25231. - 25231. (a) Any investment adviser, or any person who contemplates...

Section 25232. - 25232. The commissioner may, after appropriate notice and opportunity for...

Section 25232.1. - 25232.1. The commissioner may, after appropriate notice and opportunity for...

Section 25232.2. - 25232.2. (a) It is unlawful for any person, as to...

Section 25232.3. - 25232.3. The commissioner may immediately revoke the certificate of any...

Section 25233. - 25233. No order may be entered under Section 25232, 25232.1,...

Section 25234. - 25234. (a) No investment adviser licensed under this chapter shall...

Section 25235. - 25235. It is unlawful for any investment adviser, directly or...

Section 25236. - 25236. (a) No investment adviser licensed under this chapter shall...

Section 25237. - 25237. The commissioner shall prescribe rules with respect to investment...

Section 25238. - 25238. No investment adviser licensed under this chapter and no...

CHAPTER 4 - General Provisions

Section 25240. - 25240. Every applicant for a certificate as a broker-dealer or...

Section 25241. - 25241. (a) Every broker-dealer and every investment adviser licensed under...

Section 25242. - 25242. (a) Surrender of a certificate as a broker-dealer or...

Section 25243. - 25243. It is unlawful for any person holding a certificate...

Section 25243.5. - 25243.5. (a) A broker-dealer or investment adviser, or an agent...

Section 25244. - 25244. Any person whose certificate as a broker-dealer or investment...

Section 25245. - 25245. It is unlawful for any person willfully to make...

Section 25246. - 25246. It is unlawful for any agent or broker-dealer to...

Section 25247. - 25247. (a) Upon written or oral request, the commissioner shall...

Section 25248. - 25248. (a) If the commissioner finds, as a result of...

Section 25249. - 25249. If, after examination or investigation, the commissioner has reasonable...

Section 25250. - 25250. If, after examination or investigation, the commissioner has reasonable...

Section 25251. - 25251. (a) No order issued pursuant to Section 25249 or...

Section 25252. - 25252. The commissioner may, after appropriate notice and opportunity for...

Section 25253. - 25253. (a) Whenever it appears to the commissioner that any...

Section 25254. - 25254. (a) If the commissioner determines it is in the...

Section 25255. - 25255. The civil, criminal, and administrative remedies available to the...

Section 25256. - 25256. (a) For any broker-dealer or investment adviser, a disciplinary...

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California Code DIVISION 1 - CORPORATE SECURITIES LAW OF 968 PART 3 - REGULATION AND NOTICE FILING REQUIREMENTS OF AGENTS, BROKER-DEALERS, INVESTMENT ADVISER REPRESENTATIVES, AND INVESTMENT ADVISERS

California Code
DIVISION 1 - CORPORATE SECURITIES LAW OF 968
PART 3 - REGULATION AND NOTICE FILING REQUIREMENTS OF AGENTS, BROKER-DEALERS, INVESTMENT ADVISER REPRESENTATIVES, AND INVESTMENT ADVISERS