California Code of Regulations
Title 10 - Investment
Chapter 3 - Commissioner of Financial Protection and Innovation
Subchapter 2 - Corporate Securities
Article 9 - Regulation of Broker-Dealers and Agents
- Section 260.216 - Fraud and Misrepresentation
- Section 260.216.1 - Definitions
- Section 260.216.2 - Confirmation of Transactions
- Section 260.216.3 - Disclosure of Control of Issuer
- Section 260.216.4 - Disclosure of Interest in Distributions
- Section 260.216.4.1 - Disclosure of Compensation from Financial Planning Activities
- Section 260.216.5 - Churning
- Section 260.216.6 - Record of Transactions in Discretionary Accounts
- Section 260.216.7 - Control of the Market
- Section 260.216.8 - Hypothecation of Customers' Securities
- Section 260.216.9 - Transmission or Maintenance of Payments Received in Connection with Underwritings
- Section 260.216.10 - Disclosure and Other Requirements when Extending or Arranging Credit in Certain Transactions
- Section 260.216.11 - Identification of Quotations
- Section 260.216.12 - Minimum Capital Requirement for Broker-Dealers
- Section 260.216.12.1 - Reserve and Custody Requirements
- Section 260.216.13 - Ratio of Net Capital to Aggregate Indebtedness. [Repealed]
- Section 260.216.14 - Use of Customer Free-Credit Balance
- Section 260.216.15 - Bond Requirement
- Section 260.216.16 - Dual Employment or Affiliation
- Section 260.217 - Qualifications of Broker-Dealers, Compliance Supervisors and Reported Agents
- Section 260.217.1 - Qualifications of Agents. [Repealed]
- Section 260.218 - Just and Equitable Principles of Trade
- Section 260.218.1 - Mark-Ups and Mark-Downs
- Section 260.218.2 - Suitability of Recommendations
- Section 260.218.3 - Free-Riding and Withholding
- Section 260.218.4 - Supervision of Agents
- Section 260.218.5 - Record Keeping. [Repealed]
- Section 260.218.6 - Discretionary Authority
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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