California Code of Regulations
Title 10 - Investment
Chapter 3 - Commissioner of Financial Protection and Innovation
Subchapter 2 - Corporate Securities
Article 8 - Licensing of Broker-Dealers and Agents
- Section 260.200 - Designation of Institutional Investors and Governmental Agencies and Instrumentalities by Class
- Section 260.204 - Brokers Effecting Transactions in Certain Securities Exempt Under Federal Law. [Repealed]
- Section 260.204.1 - Real Estate Brokers Effecting Transactions in Securities
- Section 260.204.2 - Exemption for Certain Investment Advisers
- Section 260.204.3 - Exemption for Certain Real Estate Salesmen. [Repealed]
- Section 260.204.4 - Commodity Contract Sales. [Repealed]
- Section 260.204.5 - Merger and Acquisition Specialists
- Section 260.204.6 - Licensed Lenders
- Section 260.204.7 - State Teachers' Retirement System
- Section 260.204.8 - Limited Exemption for Commodity Trading Advisers
- Section 260.204.9 - Certificate Exemption for Investment Advisers to Private Funds
- Section 260.204.10 - Certain Canadian Broker-Dealers; Agents
- Section 260.204.11 - Pacific Exchange, Inc. [Repealed]
- Section 260.204.12 - Capital Access Company
- Section 260.210 - Agent Procedures for Broker-Dealers
- Section 260.211 - Application for Broker-Dealer Certificate
- Section 260.211.1 - Application for License by Notification
- Section 260.211.2 - Expiration of Broker-Dealer Certificates
- Section 260.211.3 - Waiver of Denial or Revocation Under Section 25211(b) of the Code
- Section 260.211.4 - Exemption for Finders: Form
- Section 260.211.5 - Annual Renewal of Exemption for Finders: Form
- Section 260.211.6 - Notification of Withdrawal: Finder
- Section 260.211.7 - Maintenance of Records
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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