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Approved Rulemaking

PRO 04-24 Broker-Dealer Qualifications Nonsubstantive 260.217

AMEND: Title 10, Section 260.217
Filed with OAL on June 12, 2024
Effective Date of Rules: July 25, 2024

PRO 05/15 AB 667 Broker-Dealer Finder Exemption

ADOPT:  Title 10 Sections 260.211.4, 260.211.5, 260.211.6 and 260.211.7
Effective Date of Rules: June 21, 2017

PRO 18/11 AB 1424 Franchise Tax Board: Delinquent Tax Debt

AMEND:  Title 10 Sections 260.210, 260.211, 260.211.1, 260.231, 1422, 1422.7, 1423, 1581, 1582, 1805.204, and 1950.122.8
ADOPT:  Title 10 Section 1430
Effective Date of Rules: January 7, 2014

PRO 04/11 Investment Adviser Custody Rules

AMEND:  Title 10, Section 260.237
Effective Date of Rules: April 1, 2014

PRO 02/11 Private Fund Adviser Exemption

AMEND:  Title 10, Section 260.204.9
Effective Date of Rules: August 27, 2012

PRO 09/09 – SEC Rule 3a4-1 (People v. Cole)

ADOPT: Section 260.004.1
Effective Date of Rules: June 3, 2011

PRO 18/08 – Proposed Technical Corrections to the CCR and Form Adoption

Amend Sections 260.004, 260.017.1, 260.101, 260.102.14, 260.165, 260.210, 260.211, 260.230.1, 260.231A, 260.236, 260.236.1, 260.237.2, 260.240, and 260.241.3; and to repeal Sections 260.103.3 and 260.237.1 of Title 10 of the California Code of Regulations.
Effective: October 24, 2009:

PRO 10/08 – Correction of Regulations due to recent changes in names of exchanges and related entities.

Amend Sections 260.101.2, 260.103.4, 260.105.7, 260.105.17, 260.105.33, 260.105.34, 260.217, 260.230, 260.241.4, and 260.242; repeal Sections 260.105.37 and 260.204.11
Effective: 12/10/09

PRO 27/06 – Compensatory Benefit Plan Rules

Rule(s): 260.140.8, 260.140.41, 260.140.42, 260.140.45 and 260.140.46
Effective Date: 07/09/07

 

PRO 37/03 – Corporate Securities Law of 1968: Time Period for Filing 25102(f) Notice.

Rule: 260.102.14
Effective Date: 10/27/04

 

PRO 26/03 – Corporate Securities Law of 1968: Consent to Service of Process Form.

Rule: 260.165
Effective Date: 03/11/05

 

PRO 25/04 – AB 3070 (2004) – Mandatory IARD

Rule: 260.230, 260.231, 260.236.1, 260.241.4, 260.242, repeal 260.231.2, 260.236.2
Effective Date: 04/05/07

 

PRO 19/04 – On-line filing of the Notice under Section 25102(f).

Rule: 260.102.14
Effective Date: 07/22/05

 

PRO 21/02 – Corporate Securities Law of 1968: Relating to administrative penalties criteria

Rule: 250.70
Effective Date: 10/11/03

 

PRO 36/01 – Relating to entity conversion transactions.

Rule: 260.121
Effective Date: 10/28/05

 

PRO 28/01 – Requirements for Licensed broker-dealers with respect to the making and maintaining of books and records, requirements or Licensed broker-dealers regarding the preservation of records.

Amend Rule(s): 260.241 and 260.241; Repeal Sections 260.218.5 and 260.241.1
Effective: 04/06/08

 

PRO 25/01 – Corporate Securities Law of 1968: Offerings of Debt Securities by churches

Rule: 260.140.72, 260.140.72.1, and 260.140.72.5
Effective Date: 05/01/05

 

PRO 17/01 – Corporate Securities Law of 1968: Electronic filing of notices under the “limited offering exemption” of Corporations Code Section 25102(f)

Rule: 260.102.14
Effective Date: 04/13/04

 

OP 05/01 – Corporate Securities Law: Broker-Dealer applications, amendments, notices and fees to be filed with the Department of Corporations.

Rule: 260.211, 260.211.1
Effective Date: 04/26/03

 

OP 03/01 – Corporate Securities Law: Adding regulation Rule 260.402 relating to the to the purchase or sale of securities by an “insider”.

Rule: 260.402
Effective Date: 07/30/01

 

OP 19/00 – Corporate Securities Law: Investment adviser and investment adviser representative applications, amendments, reports, notices, and fees required to be filed with the Commissioner.

Rule: 260.230, 260.230.1, 260.231, 260.231.2, 260.231.3, 260.236, 260.236.1, 260.236.2, 260.237.1, 260.240, 260.241.2, 260.241.3, 260.241.4 and 260.242
Effective Date: 04/03/03

 

OP 16/00 – Corporate Securities Law: Exemption from qualification for certain securities offerings through option plans and purchase plans.

Rule: 260.102.19, 260.140.41, 260.140.42, 260.140.45, and 260.140.46
Effective Date: 03/09/02

 

OP 11/00 – Corporate Securities Law: Exemption from Investment Adviser Licensure for Capital Access Company Fund Managers.

Rule: 260.204.12 Effective Date: 05/02/01

 

OP 09/99 – Corporate Securities Law: Qualification requirements for investment adviser.

Rule: 260.236
Effective Date: 06/06/00

 

OP 07/99 – Corporate Securities Law: Exemption from licensure for certain investment advisers with fewer than 15 clients.

Rule: 260.204.9
Effective Date: 03/27/02

 

OP 16/98 – Corporate Securities Law: Foreign equity securities. Rule: 260.105.11 Effective Date: 05/26/00

Rule 260.105.11
Effective Date: 05/26/00

 

OP 10/98 – Corporate Securities Law: Temporary transfer of agents of broker-dealers, changes to the broker-dealer application, performance based compensation and books and records requirements.

Rule: 260.210, 260.211, 260,211.1, 260.234 and 260.241
Effective Date: 01/23/01

 

OP 21/96 – Corporate Securities Law: Exemption from (1) certain Canadian tax-deferred retirement savings accounts, certain Canadian broker-dealers and agents; and (2) specialists, market makers or floor broker-dealers who are members of the Pacific Stock Exchange.

Rule: 260.105.40, 260.204.10,  and 260.204.11
Effective Date: 06/23/01

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