Cal. Code Regs. Tit. 10, § 260.218.3 - Free-Riding and Withholding

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

No broker-dealer who is participating in a distribution of securities, whether acquired as an underwriter, a selling group member, or from a member participating in the distribution as an underwriter or selling group member, shall fail to make a bona fide public offering of all of the securities allotted to such person for distribution.

Notes

Cal. Code Regs. Tit. 10, § 260.218.3

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 filed 11-9-82 (Register 82, No. 46).

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