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Article 11. General Provisions Relating to Agents, Broker-Dealers and Investment Advisers | Midpage
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California Code of Regulations
Title 10
Chapter 3. Commissioner of Financial Protection and Innovation
Subchapter 2. Corporate Securities
Article 11. General Provisions Relating to Agents, Broker-Dealers and Investment Advisers
Article 11. General Provisions Relating to Agents, Broker-Dealers and Investment Advisers
State of California
260.240
Consent to Service of Process.
260.241
Books and Records of Broker-Dealers.
260.241.1
Preservation of Records. [Repealed.]
260.241.2
Reports by Broker-Dealers and Investment Advisers.
260.241.3
Books and Records to Be Maintained by Investment Advisers.
260.241.4
Notice of Changes by Broker-Dealer and Investment Adviser.
260.241.5
Notice of Complaint.
260.241.6
Quarterly Security Counts.
260.242
Surrender of Certificate as a Broker-Dealer or Investment Adviser.