California Code of Regulations
Title 10 - Investment
Chapter 5 - Insurance Commissioner
Subchapter 5 - Stock Insurers-Corporate Affairs
Article 2 - Insider Trading
Section 2682.19 - Exemption of Certain Transactions by a Dealer in Securities in Which that Dealer Has NO Interest
Universal Citation: 10 CA Code of Regs 2682.19
Current through Register 2024 Notice Reg. No. 38, September 20, 2024
Transactions in any security shall be exempt from the operation of Section 1104.4 to the extent necessary to render lawful under such section the execution by a broker of an order for an account in which that broker has no direct or indirect interest.
1. Change without regulatory effect amending section heading and section filed 7-14-2021 pursuant to section 100, title 1, California Code of Regulations (Register 2021, No. 29). Filing deadline specified in Government Code section 11349.3(a) extended 60 calendar days pursuant to Executive Order N-40-20.
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