Article 8. Licensing of Broker-Dealers and Agents | Midpage

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California Code of Regulations

Chapter 3. Commissioner of Financial Protection and Innovation

Subchapter 2. Corporate Securities

Article 8. Licensing of Broker-Dealers and Agents

Article 8. Licensing of Broker-Dealers and Agents

State of California

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 [Repealed]260.204.1Real Estate Brokers Effecting Transactions in Securities.260.204.2Exemption for Certain Investment Advisers.260.204.3Exemption for Certain Real Estate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 [Repealed]260.204.4Commodity Contract Sales. [Repealed]260.204.5Merger and Acquisition Specialists.260.204.6Licensed Lenders.260.204.7State Teachers' Retirement System.260.204.8Limited Exemption for Commodity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Advisers to Private Funds.260.204.10Certain Canadian Broker-Dealers; Agents.260.204.11Pacific Exchange, Inc. [Repealed]260.204.12Capital Access Company.260.210Agent Procedures for Broker-Dealers.260.211Application for Broker-Dealer Certificate.260.211.1Application for License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