Cal. Code Regs. Tit. 10, § 260.218.1 - Mark-Ups and Mark-Downs

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

No broker-dealer and no agent employed by such a broker-dealer shall enter into any transaction with a customer in any security at a price not reasonably related to the current market price of the security, or charge a commission which is not reasonable.

Notes

Cal. Code Regs. Tit. 10, § 260.218.1

Note: Authority cited: Sections 25218 and 25610, Corporations Code. Reference: Section 25218, Corporations Code.

1. Amendment 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).

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