Cal. Code Regs. Tit. 10, § 260.211.3 - Waiver of Denial or Revocation Under Section 25211(b) of the Code

Current through Register 2021 Notice Reg. No. 52, December 24, 2021

Pursuant to the provisions of Section 25211(b) of the Code, the Commissioner waives in the public interest as a bar to issuance of a broker-dealer certificate by notification any revocation of a broker-dealer certificate pursuant to the provisions of subdivision (b) or (c)(1) of Section25242 of the Code, or pursuant to a provision of a predecessor statute of substantially identical import or effect.

Notes

Cal. Code Regs. Tit. 10, § 260.211.3

Note: Authority cited: Sections 25211(b), (c) and 25610, Corporations Code. Reference: Section 25211, Corporations Code.

1. New section filed 11-29-79 as an emergency; designated effective 1-1-80. Certificate of Compliance included (Register 79, No. 48).
2. Editorial correction of NOTE filed 4-6-83 (Register 83, No. 15).