California Code of Regulations
Title 10 - Investment
Chapter 3 - Commissioner of Financial Protection and Innovation
Subchapter 2 - Corporate Securities
Article 11 - General Provisions Relating to Agents, Broker-Dealers and Investment Advisers
- Section 260.240 - Consent to Service of Process
- Section 260.241 - Books and Records of Broker-Dealers
- Section 260.241.1 - Preservation of Records. [Repealed.]
- Section 260.241.2 - Reports by Broker-Dealers and Investment Advisers
- Section 260.241.3 - Books and Records to be Maintained by Investment Advisers
- Section 260.241.4 - Notice of Changes by Broker-Dealer and Investment Adviser
- Section 260.241.5 - Notice of Complaint
- Section 260.241.6 - Quarterly Security Counts
- Section 260.242 - Surrender of Certificate as a Broker-Dealer or Investment Adviser
Disclaimer: These regulations may not be the most recent version. California may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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