Law and Regulations
PRO 05-15 – Broker-Dealer Finder Exemption
Comments must be received by April 14, 2017
ADOPT: Title 10, Sections 260.211.4, 260.211.5, 260.211.6, and 260.211.7.
Comments must be received by July 15, 2016
Invitation for Comments
PRO 04/14 – Investment Adviser Exemption for Real Estate Brokers
Comments must be received by 3/8/15
ADD: Section 222.214.171.124
AMEND: Sections 260.204.1, 260.204.6
PRO 04/11 – Custody Rule
AMEND: Section 260.237
Comments must be received by 08/05/11
PRO 27/03 - Investment Adviser Omnibus Rulemaking - Custody, Advertising, Cash Solicitation, Soft Dollars, Unethical Practices, Conflicts of Interest, and Books.
Comments must be received by 01/07/11
- PRO 18/11 - AB 1424 Franchise Tax Board: Delinquent Tax Debt
- PRO 04/11 - Investment Adviser Custody Rules
- PRO 02/11 - Private Fund Adviser Exemption
- PRO 09/09 - SEC Rule 3a4-1 (People v. Cole)
- PRO 18/08 - Proposed Technical Corrections to the CCR and Form Adoption
- PRO 10/08 - Correction of Regulations due to recent changes in names of exchanges and related entities.
- PRO 27/06 - Compensatory Benefit Plan Rules
- PRO 25/04 - AB 3070 (2004) - Mandatory IARD
- PRO 36/01 - Relating to entity conversion transactions.
- PRO 19/04 - On-line filing of the Notice under Section 25102(f).
- PRO 25/01 - Offerings of debt Securities by churches.
- PRO 26/03 - Consent to Service of Process Form
- PRO 37/03 - Time Period for Filing 25102(f) Notice.
- PRO 17/01 - Electronic filing of notices under the "limited offering exemption" of Corporations Code Section 25102(f)
- PRO 21/02 - Relating to administrative penalties criteria
- PRO 28/01 - Broker-Dealer Books and Records
- OP 05/01 - Broker-Dealer applications, amendments, notices and fees to be filed with the Department of Corporations.
- OP 19/00 - Investment adviser and investment adviser representative applications, amendments, reports, notices, and fees required to be filed with the Commissioner.
- OP 07/99 - Exemption from licensure for certain investment advisers with fewer than 15 clients.
- OP 16/00 - Exemption from qualification for certain securities offerings through option plans and purchase plans.
- OP 03/01 - Adding regulation Rule 260.402 relating to the to the purchase or sale of securities by an "insider".
- OP 21/96 - Exemption from (1) certain Canadian tax-deferred retirement savings accounts, certain Canadian broker-dealers and agents; and (2) specialists, market makers or floor broker-dealers who are members of the Pacific Stock Exchange, Inc.
- OP 11/00 - Exemption from Investment Adviser Licensure for Capital Access Company Fund Managers.
- OP 10/98 - Temporary transfer of agents of broker-dealers, changes to the broker-dealer application, performance based compensation and books and records requirements.
- OP 16/98 - Foreign equity securities
- OP 09/99 - Qualification requirements for investment adviser.