Corpus browser
179663 records-
Open
Corporations Code - CORP - CORP § 25242
Corporations Code - CORP - CORP § 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 or within a shorter period of time as the commissioner may determine, unless a revocation or suspension proceeding is pe
-
Open
Corporations Code - CORP - CORP § 25243
Corporations Code - CORP - CORP § 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 that such person has been sponsored, recommended, or approved or that the person’s abilities or qualifications have in any r
-
Open
Corporations Code - CORP - CORP § 25243.5
Corporations Code - CORP - CORP § 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 designation in connection with the offer, sale, or purchase of securities, or the provision of advice as to the value of or
-
Open
Corporations Code - CORP - CORP § 25244
Corporations Code - CORP - CORP § 25244
Any person whose certificate as a broker-dealer or investment adviser has been suspended or revoked shall immediately surrender such certificate to the commissioner.
-
Open
Corporations Code - CORP - CORP § 25245
Corporations Code - CORP - CORP § 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 this part, or willfully to omit to state in any such application, notice, or report any material fact which is required
-
Open
Corporations Code - CORP - CORP § 25246
Corporations Code - CORP - CORP § 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 the prior consent or authorization of the spouse of that person be obtained.
-
Open
Corporations Code - CORP - CORP § 25247
Corporations Code - CORP - CORP § 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 made available through the Public Disclosure Program of the Financial Industry Regulatory Authority with respect to any b
-
Open
Corporations Code - CORP - CORP § 25248
Corporations Code - CORP - CORP § 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 part, other than an investment adviser subject to Section 25230.1, is in an insolvent condition, or is conducting a securiti
-
Open
Corporations Code - CORP - CORP § 25249
Corporations Code - CORP - CORP § 25249
If, after examination or investigation, the commissioner has reasonable grounds to believe that any broker-dealer or investment adviser is violating or has violated any law or rule binding upon it, the commissioner shall, by written order addressed to the broker-dealer or investm
-
Open
Corporations Code - CORP - CORP § 25250
Corporations Code - CORP - CORP § 25250
If, after examination or investigation, the commissioner has reasonable grounds to believe that any broker-dealer or investment adviser, other than an investment adviser subject to Section 25230.1, is conducting or has conducted business in an unsafe or injurious manner, the comm
-
Open
Corporations Code - CORP - CORP § 25251
Corporations Code - CORP - CORP § 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 commissioner’s intention to make the order final and of the reasons for the finding. The commissioner shall also notify the broke
-
Open
Corporations Code - CORP - CORP § 25252
Corporations Code - CORP - CORP § 25252
The commissioner may, after appropriate notice and opportunity for hearing, by orders, levy administrative penalties as follows: (a) Any person subject to this division, other than a broker-dealer or investment adviser, who willfully violates any provision of this division, or wh
-
Open
Corporations Code - CORP - CORP § 25253
Corporations Code - CORP - CORP § 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 investment adviser subject to this division, the commissioner shall dispatch a written notice demanding remedial action and a summ
-
Open
Corporations Code - CORP - CORP § 25254
Corporations Code - CORP - CORP § 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 ancillary relief, including, but not limited to, a claim for restitution or disgorgement or damages on behalf of the pers
-
Open
Corporations Code - CORP - CORP § 25255
Corporations Code - CORP - CORP § 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 any combination deemed advisable by the commissioner to enforce the provisions of this division.
-
Open
Corporations Code - CORP - CORP § 25256
Corporations Code - CORP - CORP § 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 another country for an action substantially related to the activity regulated under this division may be grounds for dis
-
Open
Corporations Code - CORP - CORP § 25300
Corporations Code - CORP - CORP § 25300
(a) No person shall publish any advertisement in this state concerning any security sold or offered for sale in this state unless a true copy of the advertisement has first been filed in the office of the commissioner at least three business days prior to the publication or a sho
-
Open
Corporations Code - CORP - CORP § 25301
Corporations Code - CORP - CORP § 25301
All advertisements published by any broker-dealer that are exempted from filing by paragraph (1) or paragraph (6) of subdivision (b) of Section 25300 shall be approved prior to use by signature or initial of an officer, partner, or responsible supervisory official of the broker-d
-
Open
Corporations Code - CORP - CORP § 25302
Corporations Code - CORP - CORP § 25302
(a) A person shall not publish any advertisement concerning any security in this state after the commissioner finds that the advertisement contains any statement that is false or misleading or omits to make any statement necessary in order to make the statements made, in the ligh
-
Open
Corporations Code - CORP - CORP § 25400
Corporations Code - CORP - CORP § 25400
It is unlawful for any person, directly or indirectly, in this state: (a) For the purpose of creating a false or misleading appearance of active trading in any security or a false or misleading appearance with respect to the market for any security, (1) to effect any transaction
-
Open
Corporations Code - CORP - CORP § 25401
Corporations Code - CORP - CORP § 25401
It is unlawful for any person to offer or sell a security in this state, or to buy or offer to buy a security in this state, by means of any written or oral communication that includes an untrue statement of a material fact or omits to state a material fact necessary to make the
-
Open
Corporations Code - CORP - CORP § 25402
Corporations Code - CORP - CORP § 25402
It is unlawful for an issuer or any person who is an officer, director or controlling person of an issuer or any other person whose relationship to the issuer gives him access, directly or indirectly, to material information about the issuer not generally available to the public,
-
Open
Corporations Code - CORP - CORP § 25403
Corporations Code - CORP - CORP § 25403
(a) Every person who with knowledge directly or indirectly controls and induces any person to violate any provision of this division or any rule or order thereunder shall be deemed to be in violation of that provision, rule, or order to the same extent as the controlled and induc
-
Open
Corporations Code - CORP - CORP § 25404
Corporations Code - CORP - CORP § 25404
(a) It is unlawful for any person to knowingly alter, destroy, mutilate, conceal, cover up, falsify, or make a false entry in any record, document, or tangible object with the intent to impede, obstruct, or influence the administration or enforcement of this division. (b) It is u
-
Open
Corporations Code - CORP - CORP § 25500
Corporations Code - CORP - CORP § 25500
Any person who willfully participates in any act or transaction in violation of Section 25400 shall be liable to any other person who purchases or sells any security at a price which was affected by such act or transaction for the damages sustained by the latter as a result of su