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 260.211.2 - Expiration of Broker-Dealer Certificates
Universal Citation: 10 CA Code of Regs 260.211.2
Current through Register 2024 Notice Reg. No. 38, September 20, 2024
A general license as a broker-dealer pursuant to subsection (a) or (b) of Section 25211 of the Code continues effective until it is revoked or suspended by the Commissioner or surrendered by the broker-dealer pursuant to Section 260.242.
1. Amendment
filed 9-2-77; effective thirtieth day thereafter (Register 77, No.
36).
2. Amendment filed 11-29-79 as an emergency; designated
effective 1-1-80. Certificate of Compliance included (Register 79, No.
48).
Note: Authority cited: Section 25610, Corporations Code. Reference: Section 25211, Corporations Code.
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