Law and Regulations

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.

 

Legislation

Summary of legislation that impacts the Corporate Securities Law of 1968.


SUBSCRIBE TO RECEIVE RULEMAKING NOTICES

To receive notices of DBO rulemaking, subscribe to our e-mail subscription service