California Corporations Code CHAPTER 1 - Exemptions

• Section 25200.
  A broker-dealer registered under the Securities Exchange Act of 1934, who has not previously had any certificate denied or revoked under this law or any...
• Section 25202.
  (a) An investment adviser shall not be subject to Section 25230 if (1) the investment adviser does not have a place of business in this state...
• Section 25203.
  A person whose only clients are insurance companies shall be exempted from the provisions of Section 25230.(Amended by Stats. 1997, Ch. 391, Sec. 19. Effective...
• Section 25204.
  The commissioner may by such rules as he deems necessary or appropriate in the public interest or for the protection of investors, either unconditionally or...
• Section 25206.
  A broker licensed by the Real Estate Commissioner is exempt from the provisions of Section 25210 when engaged in transactions in any interest in any...
• Section 25206.1.
  (a) For purposes of this section, a “finder” is a natural person who, for direct or indirect compensation, introduces or refers one or more accredited investors,...
• Section 25207.
  A financial institution that undertakes activities with respect to an investment company pursuant to the provisions of Section 1514, 6524, 14652.5, or 18022.5 of the...
• Section 25208.
  A person licensed as a capital access company under Division 3 (commencing with Section 28000) of Title 4 is exempt from the provisions of Section...
• Section 25209.
  Section 25210 shall not apply to an agent of an issuer when engaged in transactions exempted by subdivision (q) of Section 25102, provided that the...

Last modified: October 22, 2018