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Corporations Code - CORP - CORP § 25540
Corporations Code - CORP - CORP § 25540
(a) Except as provided for in subdivision (b), any person who willfully violates any provision of this division, or who willfully violates any rule or order under this division, shall upon conviction be fined not more than one million dollars ($1,000,000), or imprisoned pursuant
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Corporations Code - CORP - CORP § 25541
Corporations Code - CORP - CORP § 25541
(a) Any person who willfully employs, directly or indirectly, any device, scheme, or artifice to defraud in connection with the offer, purchase, or sale of any security or willfully engages, directly or indirectly, in any act, practice, or course of business which operates or wou
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Corporations Code - CORP - CORP § 25542
Corporations Code - CORP - CORP § 25542
Nothing in this law limits the power of the state to punish any person for any conduct which constitutes a crime under any other statute.
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Corporations Code - CORP - CORP § 25550
Corporations Code - CORP - CORP § 25550
When any person, including any nonresident of this state, engages in conduct prohibited or made actionable by this law or any rule or order hereunder, whether or not he has filed a consent to service of process under subdivision (h) of Section 25102, Section 25165, or Section 252
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Corporations Code - CORP - CORP § 25604
Corporations Code - CORP - CORP § 25604
The administration and enforcement of, and the education of the public relative to, the laws and programs of the Department of Financial Protection and Innovation shall be supported from the State Corporations Fund. Funds appropriated from the State Corporations Fund and made ava
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Corporations Code - CORP - CORP § 25605
Corporations Code - CORP - CORP § 25605
(a) The commissioner may publish any information filed with him or obtained by him, if, in the judgment of the commissioner, such action is in the public interest. No provision of this law authorizes the commissioner or any of his assistants, clerks, or deputies to disclose any i
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Corporations Code - CORP - CORP § 25606
Corporations Code - CORP - CORP § 25606
(a) The Attorney General shall render to the commissioner opinions upon all questions of law, relating to the construction or interpretation of any law under the commissioner’s jurisdiction or arising in the administration thereof, that may be submitted to the Attorney General by
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Corporations Code - CORP - CORP § 25607
Corporations Code - CORP - CORP § 25607
(a) Neither the commissioner nor any of the commissioner’s assistants, clerks, or deputies shall be interested as a director, officer, shareholder, member (other than a member of an organization formed for religious purposes), partner, agent, or employee of any person who, during
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Corporations Code - CORP - CORP § 25608
Corporations Code - CORP - CORP § 25608
(a) The commissioner shall charge and collect the fees fixed in this section and Section 25608.1. All fees charged and collected under this section and Section 25608.1 shall be transmitted to the Treasurer at least weekly, accompanied by a detailed statement thereof and shall be
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Corporations Code - CORP - CORP § 25608.1
Corporations Code - CORP - CORP § 25608.1
(a) The fee for an investment company filing a notice pursuant to subdivision (b) of Section 25100.1 is two hundred dollars ($200) plus one-fifth of 1 percent of the aggregate value of the securities sought to be sold in this state up to a maximum aggregate fee of two thousand fi
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Corporations Code - CORP - CORP § 25608.2
Corporations Code - CORP - CORP § 25608.2
Commencing July 1, 2000, the fee provisions of subdivision (c) of Section 25608, as they apply to the fee for filing a notice pursuant to paragraph (4) of subdivision (f) of Section 25102, and the fee provisions of subdivisions (a), (b), and (c) of Section 25608.1, shall be the m
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Corporations Code - CORP - CORP § 25608.3
Corporations Code - CORP - CORP § 25608.3
(a) Notwithstanding Sections 25608 and 25608.1, the commissioner may set any fee under those sections at an amount below the maximum fee set forth in those sections. The commissioner shall set the fee for the upcoming fiscal year on or about June 1 of each year, except that for t
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Corporations Code - CORP - CORP § 25609
Corporations Code - CORP - CORP § 25609
Every final order, decision, license, or other official act of the commissioner is subject to judicial review in accordance with law.
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Corporations Code - CORP - CORP § 25610
Corporations Code - CORP - CORP § 25610
The commissioner may from time to time make, amend and rescind such rules, forms, and orders as are necessary to carry out the provisions of this law, including rules and forms governing applications and reports, and defining any terms, whether or not used in this law, insofar as
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Corporations Code - CORP - CORP § 25611
Corporations Code - CORP - CORP § 25611
The commissioner may prepare and make available to interested persons lists of persons whose securities are qualified for trading purposes in this state, are exempt from qualification, or are not subject to qualification as the commissioner may determine to be necessary or desira
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Corporations Code - CORP - CORP § 25612
Corporations Code - CORP - CORP § 25612
No rule, form or order may be made, amended, or rescinded unless the commissioner finds that the action is necessary or appropriate in the public interest or for the protection of investors and consistent with the purposes fairly intended by the policy and provisions of this law.
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Corporations Code - CORP - CORP § 25612.3
Corporations Code - CORP - CORP § 25612.3
Unless otherwise provided by rule, the commissioner shall require the use of the following forms: (a) Form BD (Uniform Application for Broker-Dealer Registration) for a broker-dealer application. (b) Form ADV (Uniform Application for Investment Adviser Registration) for an invest
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Corporations Code - CORP - CORP § 25612.5
Corporations Code - CORP - CORP § 25612.5
(a) To encourage uniform interpretation and administration of this law and the Franchise Investment Law (Division 5 (commencing with Section 31000)) and effective securities and franchise regulation and enforcement, the commissioner may cooperate with the securities agencies or a
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Corporations Code - CORP - CORP § 25613
Corporations Code - CORP - CORP § 25613
The commissioner may by rule or order prescribe (1) the form and content of financial statements required under this law, (2) the circumstances under which consolidated financial statements shall be filed, and (3) the circumstances under which financial statements shall be audite
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Corporations Code - CORP - CORP § 25614
Corporations Code - CORP - CORP § 25614
All rules of the commissioner (other than those relating solely to the internal administration of the Department of Financial Protection and Innovation) shall be made, amended, or rescinded in accordance with the provisions of the Administrative Procedure Act, Chapter 4 (commenci
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Corporations Code - CORP - CORP § 25615
Corporations Code - CORP - CORP § 25615
A document is filed when it is received by the commissioner; but no qualification of the sale of securities shall become effective until the appropriate fee has been paid.
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Corporations Code - CORP - CORP § 25616
Corporations Code - CORP - CORP § 25616
The commissioner shall keep an index of all qualifications which are or have ever been effective, all denial, suspension, or revocation orders which have been entered and all permits and certificates which have been issued by him under this law.
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Corporations Code - CORP - CORP § 25617
Corporations Code - CORP - CORP § 25617
Upon request and at such reasonable charges as he prescribes by rule, the commissioner shall furnish to any person photostatic or other copies (certified under his seal of office if requested) of any document which is retained as a matter of public record, except that he shall no
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Corporations Code - CORP - CORP § 25618
Corporations Code - CORP - CORP § 25618
The commissioner in his discretion may honor requests from interested persons for interpretive opinions.
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Corporations Code - CORP - CORP § 25619
Corporations Code - CORP - CORP § 25619
(a) The commissioner may destroy any applications, notices, orders, permits, and revoked or surrendered certificates, together with the files and folders, as useless or obsolete, four years after the date of filing or issuance, with the approval of the Department of General Servi