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Corporations Code - CORP - CORP § 25213
Corporations Code - CORP - CORP § 25213
The commissioner may, after appropriate notice and opportunity for hearing, by order censure, or suspend for a period not exceeding 12 months, or deny or bar from any position of employment, management or control of any broker-dealer or investment adviser, any officer, director,
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Corporations Code - CORP - CORP § 25213.3
Corporations Code - CORP - CORP § 25213.3
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
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Corporations Code - CORP - CORP § 25214
Corporations Code - CORP - CORP § 25214
(a) It is unlawful for any person, as to whom an order suspending or barring employment or control is in effect pursuant to Section 25213 or 25213.3, willfully to become or to be employed by any broker-dealer or investment adviser, contrary to the terms of that order, without the
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Corporations Code - CORP - CORP § 25215
Corporations Code - CORP - CORP § 25215
No order may be entered under Section 25212, 25213, 25213.3, or 25252 except after notice to any person affected thereby (and, in the case of an agent, to his or her employer or prospective employer if known to the commissioner) of the intention of the commissioner to enter that
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Corporations Code - CORP - CORP § 25216
Corporations Code - CORP - CORP § 25216
(a) No broker-dealer or agent shall effect any transaction in, or induce or attempt to induce the purchase or sale of, any security in this state by means of any manipulative, deceptive or other fraudulent scheme, device, or contrivance. The commissioner shall, for the purposes o
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Corporations Code - CORP - CORP § 25217
Corporations Code - CORP - CORP § 25217
(a) A broker-dealer licensed under this chapter shall not effect any transaction in, or induce or attempt to induce the purchase or sale of, any security in this state unless that broker-dealer and all agents employed by that broker-dealer meet specified and appropriate standards
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Corporations Code - CORP - CORP § 25218
Corporations Code - CORP - CORP § 25218
No broker-dealer licensed under this chapter shall effect any transaction in, or induce or attempt to induce the purchase or sale of, any security in this state in contravention of such rules as the commissioner may prescribe designed to promote just and equitable principles of t
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Corporations Code - CORP - CORP § 25219
Corporations Code - CORP - CORP § 25219
Notwithstanding any other provision of this division, if in his or her opinion the public interest and the protection of investors so require, the commissioner is authorized summarily to suspend all over-the-counter trading in this state by broker-dealers and agents in any securi
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Corporations Code - CORP - CORP § 25220
Corporations Code - CORP - CORP § 25220
At any time after the issuance of an order under Section 25219, any interested person (including, but not limited to, the issuer of the security and any broker-dealer who has been making a market in the security) may in writing request that the suspension of trading be rescinded.
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Corporations Code - CORP - CORP § 25221
Corporations Code - CORP - CORP § 25221
(a) Notwithstanding any other provision of law, a broker-dealer, or any affiliate thereof, licensed under this chapter, or any officer or employee thereof, may submit to the Department of Justice fingerprints of an applicant for employment for the purpose of obtaining information
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Corporations Code - CORP - CORP § 25230
Corporations Code - CORP - CORP § 25230
(a) It is unlawful for any investment adviser to conduct business as an investment adviser in this state unless the investment adviser has first applied for and secured from the commissioner a certificate, then in effect, authorizing the investment adviser to do so or unless the
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Corporations Code - CORP - CORP § 25230.1
Corporations Code - CORP - CORP § 25230.1
(a) A person that is registered under Section 203 of the Investment Advisers Act of 1940 as an investment adviser is not subject to the requirement of obtaining a certificate under Section 25230, but may not conduct business in this state unless the person has fewer than six clie
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Corporations Code - CORP - CORP § 25231
Corporations Code - CORP - CORP § 25231
(a) Any investment adviser, or any person who contemplates becoming an investment adviser, may apply for a certificate to act as an investment adviser by filing with the commissioner an application. The application shall be accompanied by the consent to service of process specifi
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Corporations Code - CORP - CORP § 25232
Corporations Code - CORP - CORP § 25232
The commissioner may, after appropriate notice and opportunity for hearing, by order censure, deny a certificate to, or suspend for a period not exceeding 12 months or revoke the certificate of, an investment adviser, if the commissioner finds that the censure, denial, suspension
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Corporations Code - CORP - CORP § 25232.1
Corporations Code - CORP - CORP § 25232.1
The commissioner may, after appropriate notice and opportunity for hearing, by order censure, or suspend for a period not exceeding 12 months, or bar from any position of employment, management or control of any investment adviser, broker-dealer or commodity adviser, any officer,
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Corporations Code - CORP - CORP § 25232.2
Corporations Code - CORP - CORP § 25232.2
(a) It is unlawful for any person, as to whom an order suspending or revoking the person’s certificate as an investment adviser is in effect pursuant to Section 25232 or as to whom an order suspending or barring employment is in effect pursuant to Section 25232.1, willfully to be
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Corporations Code - CORP - CORP § 25232.3
Corporations Code - CORP - CORP § 25232.3
The commissioner may immediately revoke the certificate of any investment adviser if the investment adviser fails to comply with any currently effective order of the commissioner which is necessary for the protection of any investor, unless the investment adviser secures a court
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Corporations Code - CORP - CORP § 25233
Corporations Code - CORP - CORP § 25233
No order may be entered under Section 25232, 25232.1, or 25252 except after notice to the person affected thereby of the intention of the commissioner to enter that order and of the reasons therefor and that upon receipt of a request the matter shall be set down for hearing to co
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Corporations Code - CORP - CORP § 25234
Corporations Code - CORP - CORP § 25234
(a) No investment adviser licensed under this chapter shall in this state enter into, extend or renew any investment advisory contract, or in any way perform any investment advisory contract entered into, extended or renewed on or after the effective date of this law, if that con
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Corporations Code - CORP - CORP § 25235
Corporations Code - CORP - CORP § 25235
It is unlawful for any investment adviser, directly or indirectly, in this state: (a) To employ any device, scheme, or artifice to defraud any client or prospective client. (b) To engage in any transaction, practice, or course of business which operates or would operate as a frau
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Corporations Code - CORP - CORP § 25236
Corporations Code - CORP - CORP § 25236
(a) No investment adviser licensed under this chapter shall conduct any business as such investment adviser in this state unless the investment adviser and all natural persons associated with such investment adviser meet such specified and appropriate standards with respect to tr
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Corporations Code - CORP - CORP § 25237
Corporations Code - CORP - CORP § 25237
The commissioner shall prescribe rules with respect to investment advisers licensed under this chapter who have custody of their clients’ securities or funds or who have any power of attorney from their clients to execute transactions as he or she finds to be necessary or appropr
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Corporations Code - CORP - CORP § 25238
Corporations Code - CORP - CORP § 25238
No investment adviser licensed under this chapter and no natural person associated with the investment adviser shall engage in investment advisory activities, or attempt to engage in investment advisory activities, in this state in contradiction of such rules as the commissioner
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Corporations Code - CORP - CORP § 25240
Corporations Code - CORP - CORP § 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 Section 25230.1, shall file with the commissioner, in such form as the commissioner by rule prescribes, an irrevocable cons
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Corporations Code - CORP - CORP § 25241
Corporations Code - CORP - CORP § 25241
(a) Every broker-dealer and every investment adviser licensed under Section 25230 shall make and keep accounts, correspondence, memorandums, papers, books, and other records and shall file financial and other reports as the commissioner by rule requires, subject to the limitation