ARTICLE 6. Claim of Exemption From Securities Qualification [10237. - 10239.3.]

Article 6 added by Stats. 2003, Ch. 901, Sec. 2.

§§ 10237–10239.3 · 6 sections

• § 10237 This article applies only to the exemption from securities qualification claimed under Section 25102.5 of the Corporations Code. This article does not apply to…
• § 10238 (a) A notice in the following form and containing the following information shall be filed with the commissioner within 30 days after the first transaction and…
• § 10239 The jurisdiction of the Commissioner of Financial Protection and Innovation under the Corporate Securities Law of 1968 shall be neither limited nor expanded by…
• § 10239.1 Nothing in this article shall be construed to change the agency relationships between the parties where they exist or limit in any manner the fiduciary duty of…
• § 10239.2 For the purposes of this article, the following definitions shall apply: (a) “Broker” means a person licensed as a broker under this part. (b) “Affiliate”…
• § 10239.3 (a) If any person other than a real estate broker makes or keeps any of the books, accounts, or other records maintained in connection with a transaction…