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Corporations Code - CORP - CORP § 25150
Corporations Code - CORP - CORP § 25150
The commissioner may accept and act upon the opinions, appraisements and reports of any engineers, appraisers, or other experts which may be presented by an applicant on any question of fact concerning or affecting the securities proposed to be offered and sold. In lieu of, or in
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Corporations Code - CORP - CORP § 25151
Corporations Code - CORP - CORP § 25151
(a) Upon the filing of a written request for the consent to transfer securities referred to in Section 25133, accompanied by such information and documents as the commissioner may by rule require, the commissioner shall issue such consent if the commissioner finds that the transf
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Corporations Code - CORP - CORP § 2516
Corporations Code - CORP - CORP § 2516
“Special purpose objectives” means those objectives set forth by management and the directors of a social purpose corporation for purposes of measuring the impact of the social purpose corporation’s efforts relating to its special purpose in accordance with Section 3500.
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Corporations Code - CORP - CORP § 25160
Corporations Code - CORP - CORP § 25160
Every application for qualification shall state (1) the maximum amount of securities proposed to be offered in this state; and (2) any adverse order, judgment, or decree entered in connection with the offering by the regulatory authority in any state or by any court or by the Sec
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Corporations Code - CORP - CORP § 25161
Corporations Code - CORP - CORP § 25161
Any document filed under this law or a predecessor statute may be incorporated by reference in a subsequent application or notice filing if it was filed within four years prior to the filing of the application or notice filing, or is otherwise available in the files of the commis
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Corporations Code - CORP - CORP § 25162
Corporations Code - CORP - CORP § 25162
An amendment to an application filed after the effective date of the qualification of the sale of securities, if such amendment is approved by the commissioner, shall become effective on such date as the commissioner may determine, having due regard to the public interest and the
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Corporations Code - CORP - CORP § 25163
Corporations Code - CORP - CORP § 25163
In any proceeding under this law, the burden of proving an exemption or an exception from a definition is upon the person claiming it.
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Corporations Code - CORP - CORP § 25164
Corporations Code - CORP - CORP § 25164
(a) Neither (1) the fact that an application for qualification under this law has been filed nor (2) the fact that such qualification has become effective constitutes a finding by the commissioner that any document filed under this law is true, complete, or not misleading. Neithe
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Corporations Code - CORP - CORP § 25165
Corporations Code - CORP - CORP § 25165
Every applicant for qualification of the sale of securities under this law or every person filing an application or a notice under Sections 25100.1, 25101.1, 25102.1, and 25230.1 or a request for or notice of an exemption from qualification (other than a California corporation, C
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Corporations Code - CORP - CORP § 25166
Corporations Code - CORP - CORP § 25166
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 this part or pursuant to subdivision (b) of Section 25507, or willfully to omit to state in any such application, notice
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Corporations Code - CORP - CORP § 2517
Corporations Code - CORP - CORP § 2517
“Surviving social purpose corporation” means a social purpose corporation into which one or more other corporations or one or more other business entities is merged.
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Corporations Code - CORP - CORP § 25200
Corporations Code - CORP - CORP § 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 predecessor statute, shall be exempted from the provisions of Section 25210 if he has no place of business in this state and he
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Corporations Code - CORP - CORP § 25202
Corporations Code - CORP - CORP § 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 the preceding 12-month period has had fewer than six clients who are residents of this state. (b) For the purpose of this s
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Corporations Code - CORP - CORP § 25203
Corporations Code - CORP - CORP § 25203
A person whose only clients are insurance companies shall be exempted from the provisions of Section 25230.
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Corporations Code - CORP - CORP § 25204
Corporations Code - CORP - CORP § 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 upon specified terms and conditions or for specified periods, exempt from the provisions of Section 25210 or Section 25230
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Corporations Code - CORP - CORP § 25206
Corporations Code - CORP - CORP § 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 limited partnership, joint venture, unincorporated association, or similar organization (but not a corporation) owned be
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Corporations Code - CORP - CORP § 25206.1
Corporations Code - CORP - CORP § 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 investors, as that term is defined in Rule 501(a) of Regulation D under the Securities Act of 1933 (17 C.F.R. 230.501(a)), to an
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Corporations Code - CORP - CORP § 25207
Corporations Code - CORP - CORP § 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 of the Financial Code shall not be subject to Section 25210 or 25230 in connection with such activities but shall be subj
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Corporations Code - CORP - CORP § 25208
Corporations Code - CORP - CORP § 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 engaged in the transaction of business pursuant to the requirements of the Capital Access Company Law and the regulations
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Corporations Code - CORP - CORP § 25209
Corporations Code - CORP - CORP § 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 life agent licensed in California or in the state of domicile of the purchaser.
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Corporations Code - CORP - CORP § 25210
Corporations Code - CORP - CORP § 25210
(a) Unless exempted under the provisions of Chapter 1 (commencing with Section 25200) of this part, no broker-dealer shall effect any transaction in, or induce or attempt to induce the purchase or sale of, any security in this state unless the broker-dealer has first applied for
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Corporations Code - CORP - CORP § 25211
Corporations Code - CORP - CORP § 25211
(a) The application for a certificate as a broker-dealer shall be accompanied by the consent to service of process specified in Section 25240 and, unless filed pursuant to subdivision (b), shall contain such information in such detail relating to the applicant and any persons ass
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Corporations Code - CORP - CORP § 25211.5
Corporations Code - CORP - CORP § 25211.5
A broker-dealer acting pursuant to a certificate which is then in effect and which is issued pursuant to Section 25211, shall be exempt from the usury provisions of the State Constitution. This section creates and authorizes a class of persons pursuant to Section 1 of Article XV
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Corporations Code - CORP - CORP § 25212
Corporations Code - CORP - CORP § 25212
The commissioner may, after appropriate notice and opportunity for hearing, by order censure, deny a certificate to, suspend for a period not exceeding 12 months or revoke the certificate of, any broker-dealer if the commissioner finds that the censure, denial, suspension, or rev
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Corporations Code - CORP - CORP § 25212.1
Corporations Code - CORP - CORP § 25212.1
The commissioner may immediately revoke by order the certificate of any broker-dealer if the broker-dealer fails to comply with any currently effective order of the commissioner which is necessary for the protection of any investor, unless the broker-dealer secures a court order