Article 9. Regulation 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 9. Regulation of Broker-Dealers and Agents

Article 9. Regulation of Broker-Dealers and Agents

State of California

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 [Repealed]260.216.14Use of Customer Free-Credit Balance.260.216.15Bond Requirement.260.216.16Dual Employment or Affiliation.260.217Qualifications of Broker-Dealers,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 [Repealed]260.218Just and Equitable Principles of Trade.260.218.1Mark-Ups and Mark-Downs.260.218.2Suitability of Recommendations.260.218.3Free-Riding and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 [Repealed]260.218.6Discretionary Authority.