Law and Regulations – Corporate Securities Law

Proposed Regulations

 

Invitation for Comments

PRO 04/14 – Investment Adviser Exemption for Real Estate Brokers

Comments must be received by 3/8/15
ADD: Section 260.204.1.1
AMEND: Sections 260.204.1, 260.204.6

PRO 27/03 – Investment Adviser Omnibus Rulemaking – Custody, Advertising, Cash Solicitation, Soft Dollars, Unethical Practices, Conflicts of Interest, and Books.

Comments must be received by 01/07/11

Approved Regulations

  • PRO 05/15 – AB 667 Broker-Dealer Finder Exemption
  • PRO 18/11 – AB 1424 Franchise Tax Board: Delinquent Tax Debt
  • PRO 04/11 – Investment Adviser Custody Rules
  • PRO 02/11 – Private Fund Adviser Exemption
  • PRO 09/09 – SEC Rule 3a4-1 (People v. Cole)
  • PRO 18/08 – Proposed Technical Corrections to the CCR and Form Adoption
  • PRO 10/08 – Correction of Regulations due to recent changes in names of exchanges and related entities.
  • PRO 27/06 – Compensatory Benefit Plan Rules
  • PRO 25/04 – AB 3070 (2004) – Mandatory IARD
  • PRO 36/01 – Relating to entity conversion transactions.
  • PRO 19/04 – On-line filing of the Notice under Section 25102(f).
  • PRO 25/01 – Offerings of debt Securities by churches.
  • PRO 26/03 – Consent to Service of Process Form
  • PRO 37/03 – Time Period for Filing 25102(f) Notice.
  • PRO 17/01 – Electronic filing of notices under the “limited offering exemption” of Corporations Code Section 25102(f)
  • PRO 21/02 – Relating to administrative penalties criteria
  • PRO 28/01 – Broker-Dealer Books and Records
  • OP 05/01 – Broker-Dealer applications, amendments, notices and fees to be filed with the Department of Corporations.
  • OP 19/00 – Investment adviser and investment adviser representative applications, amendments, reports, notices, and fees required to be filed with the Commissioner.
  • OP 07/99 – Exemption from licensure for certain investment advisers with fewer than 15 clients.
  • OP 16/00 – Exemption from qualification for certain securities offerings through option plans and purchase plans.
  • OP 03/01 – Adding regulation Rule 260.402 relating to the to the purchase or sale of securities by an “insider”.
  • OP 21/96 – 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, Inc.
  • OP 11/00 – Exemption from Investment Adviser Licensure for Capital Access Company Fund Managers.
  • OP 10/98 – Temporary transfer of agents of broker-dealers, changes to the broker-dealer application, performance based compensation and books and records requirements.
  • OP 16/98 – Foreign equity securities
  • OP 09/99 – Qualification requirements for investment adviser.

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Last updated: Oct 28, 2021 @ 11:26 am