CHAPTER 4. General Provisions [25240. - 25256.]
Chapter 4 added by Stats. 1968, Ch. 88.
§§ 25240–25256 · 18 sections
- § 25240 Every applicant for a certificate as a broker-dealer or an investment adviser (other than a California corporation), and every investment adviser subject to…
- § 25241 (a) Every broker-dealer and every investment adviser licensed under Section 25230 shall make and keep accounts, correspondence, memorandums, papers, books, and…
- § 25242 (a) Surrender of a certificate as a broker-dealer or investment adviser becomes effective 30 days after receipt of an application to surrender that certificate…
- § 25243 It is unlawful for any person holding a certificate as a broker-dealer or investment adviser under this part to represent or imply in any manner whatsoever…
- § 25243.5 (a) A broker-dealer or investment adviser, or an agent or representative thereof, shall not use a senior-specific certification, credential, or professional…
- § 25244 Any person whose certificate as a broker-dealer or investment adviser has been suspended or revoked shall immediately surrender such certificate to the…
- § 25245 It is unlawful for any person willfully to make any untrue statement of a material fact in any application, notice, or report filed with the commissioner under…
- § 25246 It is unlawful for any agent or broker-dealer to require, as a condition to the purchase or sale of securities for and in the name of a married person, that…
- § 25247 (a) Upon written or oral request, the commissioner shall make available to any person the information specified in Section 7929.005 of the Government Code and…
- § 25248 (a) If the commissioner finds, as a result of any examination or investigation or from any report made to the commissioner, that any person subject to this…
- § 25249 If, after examination or investigation, the commissioner has reasonable grounds to believe that any broker-dealer or investment adviser is violating or has…
- § 25250 If, after examination or investigation, the commissioner has reasonable grounds to believe that any broker-dealer or investment adviser, other than an…
- § 25251 (a) No order issued pursuant to Section 25249 or 25250 may become final except after notice to the affected broker-dealer or investment adviser of the…
- § 25252 The commissioner may, after appropriate notice and opportunity for hearing, by orders, levy administrative penalties as follows: (a) Any person subject to this…
- § 25253 (a) Whenever it appears to the commissioner that any of the conditions specified in subdivision (b) has occurred with respect to any broker-dealer or…
- § 25254 (a) If the commissioner determines it is in the public interest, the commissioner may include in any administrative action brought under this part a claim for…
- § 25255 The civil, criminal, and administrative remedies available to the commissioner pursuant to this division are not exclusive, and may be sought and employed in…
- § 25256 (a) For any broker-dealer or investment adviser, a disciplinary action taken by the State of California, another state, an agency of the federal government, or…