CHAPTER 1. Exemptions

Chapter 1 added by Stats. 1968, Ch. 88.

§§ 25200–25209 · 9 sections

• § 25200 A broker-dealer registered under the Securities Exchange Act of 1934, who has not previously had any certificate denied or revoked under this law or any…
• § 25202 (a) An investment adviser shall not be subject to Section 25230 if (1) the investment adviser does not have a place of business in this state and (2) during…
• § 25203 A person whose only clients are insurance companies shall be exempted from the provisions of Section 25230.
• § 25204 The commissioner may by such rules as he deems necessary or appropriate in the public interest or for the protection of investors, either unconditionally or…
• § 25206 A broker licensed by the Real Estate Commissioner is exempt from the provisions of Section 25210 when engaged in transactions in any interest in any general or…
• § 25206.1 (a) For purposes of this section, a “finder” is a natural person who, for direct or indirect compensation, introduces or refers one or more accredited…
• § 25207 A financial institution that undertakes activities with respect to an investment company pursuant to the provisions of Section 1514, 6524, 14652.5, or 18022.5…
• § 25208 A person licensed as a capital access company under Division 3 (commencing with Section 28000) of Title 4 is exempt from the provisions of Section 25210 when…
• § 25209 Section 25210 shall not apply to an agent of an issuer when engaged in transactions exempted by subdivision (q) of Section 25102, provided that the agent is a…