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Corporations Code - CORP - CORP § 28820
Corporations Code - CORP - CORP § 28820
In this article, unless the context otherwise requires: (a) (1) “Associate,” when used with respect to a licensee, means all of the following: (A) Any principal shareholder, director, officer, manager, agent, or adviser of the licensee. (B) Any director, officer, partner, general
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Corporations Code - CORP - CORP § 28821
Corporations Code - CORP - CORP § 28821
(a) A licensee shall not provide financial or managerial assistance to, or for the benefit of, any person to the detriment of a small business firm or smaller business firm, the licensee, its shareholders, or partners. Unless a licensee obtains a prior written exemption from the
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Corporations Code - CORP - CORP § 28880
Corporations Code - CORP - CORP § 28880
Any person who willfully violates any provision under this chapter shall upon conviction be fined not more than two hundred fifty thousand dollars ($250,000) or be imprisoned pursuant to subdivision (h) of Section 1170 of the Penal Code, or in a county jail for not more than one
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Corporations Code - CORP - CORP § 28881
Corporations Code - CORP - CORP § 28881
Nothing in this division limits the power of the state to punish any person for any act which constitutes a crime under any statute.
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Corporations Code - CORP - CORP § 28900
Corporations Code - CORP - CORP § 28900
If, after notice and a hearing, the commissioner finds that any person has violated any provision of this division or of any regulation or order issued under this division, the commissioner may order the person to pay to the commissioner a civil penalty in that amount as the comm
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Corporations Code - CORP - CORP § 28901
Corporations Code - CORP - CORP § 28901
The provisions of Section 28900 are additional to, and not alternative to, other provisions of this division which authorize the commissioner to issue orders or to take other action on account of a violation of any provision of this division or of any regulation or order issued u
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Corporations Code - CORP - CORP § 28950
Corporations Code - CORP - CORP § 28950
No provision of this division imposing any liability applies to any act done or omitted in good faith in conformity with any rule, form, permit, order, or written interpretive opinion of the commissioner, or any written interpretive opinion of the Attorney General, notwithstandin
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Corporations Code - CORP - CORP § 28951
Corporations Code - CORP - CORP § 28951
(a) The commissioner may from time to time make, amend, and rescind the rules, forms, and orders that are necessary to carry out this law, and define any terms, whether or not used in this law, insofar as the definitions are not inconsistent with this law. For the purpose of rule
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Corporations Code - CORP - CORP § 28952
Corporations Code - CORP - CORP § 28952
The commissioner may honor requests from interested persons for interpretive opinions.
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Corporations Code - CORP - CORP § 28953
Corporations Code - CORP - CORP § 28953
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 § 28954
Corporations Code - CORP - CORP § 28954
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 § 28955
Corporations Code - CORP - CORP § 28955
Nothing in this law, shall impair, derogate, or otherwise affect the authority or powers of the commissioner under the Corporate Securities Law of 1968 (Part 3 (commencing with Section 25000)) or the application of any provision thereof to any person or transaction subject theret
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Corporations Code - CORP - CORP § 28956
Corporations Code - CORP - CORP § 28956
If any provision of this division , or the application thereof to any person or circumstance, is held invalid, the invalidity shall not affect other provisions or applications of this law that can be given effect without the invalid provision or application, and to this end the p
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Corporations Code - CORP - CORP § 28957
Corporations Code - CORP - CORP § 28957
Neither the commissioner nor any employee of the commissioner shall use any information which is filed with or obtained by the commissioner which is not public information for personal gain or benefit, nor shall the commissioner nor any employee of the commissioner engage in any
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Corporations Code - CORP - CORP § 28958
Corporations Code - CORP - CORP § 28958
(a) The program established by this division shall be supported from funds appropriated by the Legislature from the State Corporations Fund. (b) The funds appropriated from the State Corporations Fund and made available for expenditure under subdivision (a) of this section shall
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Corporations Code - CORP - CORP § 2900
Corporations Code - CORP - CORP § 2900
(a) As used in this section: (1) “Social purpose corporation” includes an unincorporated association. (2) “Board” includes the managing body of an unincorporated association. (3) “Shareholder” includes a member of an unincorporated association. (4) “Shares” includes memberships i
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Corporations Code - CORP - CORP § 29000
Corporations Code - CORP - CORP § 29000
Unless the provision or the context otherwise requires, the definitions set forth in this chapter govern the construction of this division.
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Corporations Code - CORP - CORP § 29001
Corporations Code - CORP - CORP § 29001
“Person” means an individual, partnership, corporation, limited liability company, or association, either domestic or foreign, whether acting in his or her own right or as the officer, agent, servant, employee, correspondent, or representative of another or as trustee.
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Corporations Code - CORP - CORP § 29002
Corporations Code - CORP - CORP § 29002
(a) “Trustee” means a person executing a trust, as defined in this section. (b) “Trust” means any voluntary trust expressly created by or declared in an instrument in writing, other than a will or a judicial writ, order, decree, or judgment, to carry on any business or to secure
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Corporations Code - CORP - CORP § 29003
Corporations Code - CORP - CORP § 29003
“Contract” includes any agreement, trade, or transaction.
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Corporations Code - CORP - CORP § 29004
Corporations Code - CORP - CORP § 29004
“Securities” means all shares in any corporation or association or of trustees, bonds, coupons, scrip, rights, choses in action, and other evidences of debt or property and options for the purchase or sale thereof or of any right entitling the holder thereof to participate in pro
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Corporations Code - CORP - CORP § 29005
Corporations Code - CORP - CORP § 29005
“Commodities” means anything movable that is bought and sold.
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Corporations Code - CORP - CORP § 29006
Corporations Code - CORP - CORP § 29006
“Bucket shop” means any room, office, store, building, or other place where any bucketing or bucket shopping contract is made or offered to be made.
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Corporations Code - CORP - CORP § 29007
Corporations Code - CORP - CORP § 29007
“Keeper” means any person owning, keeping, managing, operating, or promoting a bucket shop, or assisting to keep, manage, operate, or promote a bucket shop.
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Corporations Code - CORP - CORP § 29008
Corporations Code - CORP - CORP § 29008
“Bucketing” or “bucket shopping” means any of the following: (a) Making or offering to make any contract respecting the purchase or sale of any securities or commodities, wherein both parties intend, or the keeper intends, that the contract shall be, or may be, terminated, closed