California Code of Regulations
Title 10 - Investment
Chapter 3 - Commissioner of Financial Protection and Innovation
Subchapter 2 - Corporate Securities
Article 2 - Exemptions from Qualification
- Section 260.100 - Class Exemption for Persons Issuing Life Income Contracts
- Section 260.100.1 - Form of Request for Designation
- Section 260.100.2 - Definition of "Life Income Contract."
- Section 260.100.3 - Request for Order of Exemption
- Section 260.101 - Insurance Company Securities. [Repealed]
- Section 260.101.1 - Definitions of Terms and Implementation of Section 25101 of the Code. [Repealed]
- Section 260.101.2 - Certified National Securities Exchanges
- Section 260.101.3 - Notice Under Section 25101 (b) of the Code. [Repealed]
- Section 260.102 - Negotiating Permit
- Section 260.102.1 - Non-Public Offering Under Subdivision (a) of Section 25102
- Section 260.102.2 - Non-Public Offering and Sale
- Section 260.102.3 - Evidence of Indebtedness
- Section 260.102.4 - One Class of Stock
- Section 260.102.5 - Beneficial Ownership of Securities
- Section 260.102.6 - Transfer Restriction on Stock Issued Under Small Offering Exemption. (Repealed)
- Section 260.102.7 - Selling Expenses
- Section 260.102.8 - Notice of Issuance of Securities Pursuant to Small Offering Exemption
- Section 260.102.9 - Proof of Mailing
- Section 260.102.10 - Designation of Institutional Investors and Governmental Agencies and Instrumentalities by Class
- Section 260.102.10.1 - Distribution Under Securities and Exchange Commission Rule 144A
- Section 260.102.11 - Advances and Loans in Connection with Small Offering Exemption
- Section 260.102.12 - Limited Offering Exemption Interpretations
- Section 260.102.13 - Limited Offering Exemption Excluded Purchasers
- Section 260.102.14 - Limited Offering Exemption Notice of Transaction
- Section 260.102.15 - Distribution Under Securities and Exchange Commission Rule 144A
- Section 260.102.16 - Limited Public Offering Exemption Notice of Transaction
- Section 260.102.17 - Disclosure Statement Requirement for Section 25102(n)/Rule 504 Offerings
- Section 260.102.18 - Distribution Under Securities and Exchange Commission Rule 144A
- Section 260.102.19 - Notice of Transaction for Purchase or Option Plans or Agreements
- Section 260.103 - Exemption from Qualification of Recapitalizations and Reorganizations
- Section 260.103.1 - Authorization of New Classes of Stock
- Section 260.103.2 - Stock Split
- Section 260.103.3 - Voting Shares. [Repealed]
- Section 260.103.4 - Traded in the Market
- Section 260.103.5 - Legend or Escrow of Stock Dividend Shares or Split Shares
- Section 260.103.6 - Limited Exchange Transaction-Notice of Exchange Transaction
- Section 260.104 - Unsolicited Orders
- Section 260.104.1 - Designation of Institutional Investors and Governmental Agencies and Instrumentalities by Class
- Section 260.104.2 - Bona Fide Secured Party
- Section 260.104.3 - Securities Subject to Legend or Escrow Condition. [Repealed]
- Section 260.104.4 - Order Withholding Exemption
- Section 260.105 - Exemption for Offers Prior to Sale
- Section 260.105.1 - Exemption for Oil and Gas Interests Issued for Drillsite Rights or Transit Rights
- Section 260.105.2 - Out-of-State Sales and Sales to Broker-Dealers
- Section 260.105.3 - Effective Date of Requirement of Qualification for Secondary Trading. [Repealed]
- Section 260.105.4 - Sale of Franchise. [Repealed]
- Section 260.105.5 - Phantom Stock Plans
- Section 260.105.6 - Professional Organizations
- Section 260.105.7 - Inter-Dealer Quotations
- Section 260.105.8 - Incentive Stock Option Plans
- Section 260.105.9 - Split or Reverse Split of Beneficial Interests in Voting Trust
- Section 260.105.10 - Securities of Foreign Issuers. [Repealed]
- Section 260.105.11 - Securities of Foreign Issuers
- Section 260.105.12 - Temporary Nonissuer Exemption. [Repealed]
- Section 260.105.13 - Extended Eligibility for Nonissuer Transaction. [Repealed]
- Section 260.105.13.1 - Private Resales Under Securities and Exchange Commission Rule 144A
- Section 260.105.14 - Sales to Public Agencies
- Section 260.105.15 - Exemption from Qualification of Certain Exchanges
- Section 260.105.16 - Checks, Drafts, and Money Orders
- Section 260.105.17 - Exemption for Certain Publicly Traded Common Shares
- Section 260.105.18 - Commodity Contracts. [Repealed]
- Section 260.105.19 - Exemption for Certain Commodity Contracts. [Repealed]
- Section 260.105.20 - Exemption for Certain Nonprofit Organizations
- Section 260.105.21 - Exemption for Amendments to Limited Partnership Agreements Pursuant to Corporations Code Section 15520.5. [Repealed]
- Section 260.105.22 - Shares of Foreign Subsidiaries
- Section 260.105.23 - Exemption for Advances to Corporations
- Section 260.105.26 - Exemption for Preneed Funeral Trust Arrangements
- Section 260.105.27 - Temporary Nonissuer Exemption. [Repealed]
- Section 260.105.28 - Reliance on Eligible Securities List. [Repealed]
- Section 260.105.29 - Use of Red Herring Offering Circulars in Regulation A Offerings
- Section 260.105.30 - Real Estate Loans: Multiple Lender Transactions. [Repealed]
- Section 260.105.31 - Limited Offering Exemption-Transitional Exemption. [Repealed]
- Section 260.105.33 - Senior to Listed or Designated Securities
- Section 260.105.34 - Exemption for Rated Debt Securities
- Section 260.105.35 - Exchange-Traded Options on Stock Indices
- Section 260.105.36 - Exchange-Traded Options on Foreign Currencies
- Section 260.105.37 - Exemption for Certain Securities Listed on the Chicago Board Options Exchange. [Repealed]
- Section 260.105.38 - Guarantees of Governmental Securities
- Section 260.105.39 - Resales of Units in Unit Investment Trusts
- Section 260.105.40 - Certain Canadian Tax-Deferred Retirement Savings Accounts and Canadian Residents
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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