{"code":"CORP","codeName":"Corporations Code","section":"25213.3","citation":"Corp. Code, § 25213.3","status":"in-force","lawOn":"2026-09-28","headings":[{"name":"TITLE 4. SECURITIES [25000. - 31528.]","url":"https://blackletter.si/corporations-code/title-4"},{"name":"DIVISION 1. CORPORATE SECURITIES LAW OF 1968 [25000. - 25707.]","url":"https://blackletter.si/corporations-code/title-4/division-1"},{"name":"PART 3. REGULATION AND NOTICE FILING REQUIREMENTS OF AGENTS, BROKER-DEALERS, INVESTMENT ADVISER REPRESENTATIVES, AND INVESTMENT ADVISERS [25200. - 25256.]","url":"https://blackletter.si/corporations-code/title-4/division-1/part-3"},{"name":"CHAPTER 2. Licensing of Agents and Broker-Dealers [25210. - 25221.]","url":"https://blackletter.si/corporations-code/title-4/division-1/part-3/chapter-2"}],"history":"Amended by Stats. 2002, Ch. 772, Sec. 4.   Effective January 1, 2003.","effective":"2003-01-01","html":"<p>The commissioner shall, after appropriate notices and opportunity for hearing, by order suspend, for a period not exceeding 12 months, or bar from any position of employment, management or control of any broker-dealer, any officer, director, partner, agent, employee of, or person performing similar functions for, a broker-dealer, or any other person, if the person has been convicted of, or has pleaded nolo contendere to, a felony or misdemeanor in violation of Section <a href=\"/corp/25541\">25541</a> that was committed on or after January 1, 1989.</p>","text":"The commissioner shall, after appropriate notices and opportunity for hearing, by order suspend, for a period not exceeding 12 months, or bar from any position of employment, management or control of any broker-dealer, any officer, director, partner, agent, employee of, or person performing similar functions for, a broker-dealer, or any other person, if the person has been convicted of, or has pleaded nolo contendere to, a felony or misdemeanor in violation of Section 25541 that was committed on or after January 1, 1989.","otherVersions":[],"url":"https://blackletter.si/corporations-code/licensing-of-agents-and-broker-dealers-25213-3","source":"California Legislative Information bulk export (pubinfo)"}