California Corporations Code CHAPTER 2 - Licensing of Agents and Broker-Dealers

• Section 25210.
  (a) Unless exempted under the provisions of Chapter 1 (commencing with Section 25200) of this part, no broker-dealer shall effect any transaction in, or induce or...
• Section 25211.
  (a) The application for a certificate as a broker-dealer shall be accompanied by the consent to service of process specified in Section 25240 and, unless filed...
• Section 25211.5.
  A broker-dealer acting pursuant to a certificate which is then in effect and which is issued pursuant to Section 25211, shall be exempt from the...
• Section 25212.
  The commissioner may, after appropriate notice and opportunity for hearing, by order censure, deny a certificate to, suspend for a period not exceeding 12 months...
• Section 25212.1.
  The commissioner may immediately revoke by order the certificate of any broker-dealer if the broker-dealer fails to comply with any currently effective order of the...
• Section 25213.
  The commissioner may, after appropriate notice and opportunity for hearing, by order censure, or suspend for a period not exceeding 12 months, or deny or...
• Section 25213.3.
  The commissioner shall, after appropriate notices and opportunity for hearing, by order suspend, for a period not exceeding 12 months, or bar from any position...
• Section 25214.
  (a) It is unlawful for any person, as to whom an order suspending or barring employment or control is in effect pursuant to Section 25213 or...
• Section 25215.
  No order may be entered under Section 25212, 25213, 25213.3, or 25252 except after notice to any person affected thereby (and, in the case of...
• Section 25216.
  (a) No broker-dealer or agent shall effect any transaction in, or induce or attempt to induce the purchase or sale of, any security in this state...
• Section 25217.
  (a) No broker-dealer licensed under this chapter shall, effect any transaction in, or induce or attempt to induce the purchase or sale of, any security in...
• Section 25218.
  No broker-dealer licensed under this chapter shall effect any transaction in, or induce or attempt to induce the purchase or sale of, any security in...
• Section 25219.
  Notwithstanding any other provision of this division, if in his or her opinion the public interest and the protection of investors so require, the commissioner...
• Section 25220.
  At any time after the issuance of an order under Section 25219, any interested person (including, but not limited to, the issuer of the security...
• Section 25221.
  (a) Notwithstanding any other provision of law, a broker-dealer, or any affiliate thereof, licensed under this chapter, or any officer or employee thereof, may submit to...

Last modified: October 22, 2018