The Broker-Dealer and Investment Adviser Licensing and Regulatory Information web pages contain references to sections in the California Code of Regulations (“CCR”). At this time, we are unable to provide links to specific sections of the CCR as maintenance of the CCR database is outsourced to Westlaw and the database links availability is limited.
If you wish to view the sections, you will need to visit the CCR website. Click on the “Search” icon, located on the top ribbon, and enter the section code number.
By clicking on the link for a specific section, you are able to view that section directly from the CCR database. To link to the section level, you need visit the CCR web site and do the following:
Click on the List of CCR Titles
Select Title 10
Select Chapter 3
Select Subchapter 2
Broker-Dealer and Investment Adviser rules are contained in Articles 8-11.