Cal. Code Regs. Tit. 10, § 260.216.4.1 - Disclosure of Compensation from Financial Planning Activities

Current through Register 2022 Notice Reg. No. 16, April 25, 2022

The phrase, "manipulative, deceptive, or other fraudulent scheme or device, or contrivance," as used in subdivision (a) of Section 25216 of the Code, is hereby defined to include the failure of any broker-dealer or agent to deliver to a financial planning customer a notice in writing at the time and containing the information required by Section 260.235.2 of these rules.

Notes

Cal. Code Regs. Tit. 10, § 260.216.4.1

Note: Authority cited: Section 25610, Corporations Code. Reference: Section 25216, Corporations Code.

1. New section filed 12-20-85; effective thirtieth day thereafter (Register 85, No. 51).

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