There is a newer version of the California Code

View our newest version here

2011 California Code
Corporations Code
TITLE 4. SECURITIES [25000 - 31516]

TITLE 4. SECURITIES

25000-31516

DIVISION 1. CORPORATE SECURITIES LAW OF 1968

25000-25707

PART 1. DEFINITIONS

PART 2. QUALIFICATION OF AND FILING REQUIREMENTS FOR THE SALE OF SECURITIES

25100-25166

CHAPTER 1. Exemptions and Certain Securities and Transactions Not Subject to Qualification

CHAPTER 2. Issuer Transactions

CHAPTER 3. Recapitalizations and Reorganizations

CHAPTER 4. Nonissuer Transactions

CHAPTER 5. Authority of the Commissioner

CHAPTER 6. General Provisions

PART 3. REGULATION AND NOTICE FILING REQUIREMENTS OF AGENTS, BROKER-DEALERS, INVESTMENT ADVISER REPRESENTATIVES, AND INVESTMENT ADVISERS

25200-25256

CHAPTER 1. Exemptions

CHAPTER 2. Licensing of Agents and Broker-Dealers

CHAPTER 3. Licensing and Notice Filing Requirements of Investment Adviser Representatives and Investment Advisers

CHAPTER 4. General Provisions

PART 4. ADVERTISING SECURITIES

PART 5. FRAUDULENT AND PROHIBITED PRACTICES

PART 6. ENFORCEMENT

25500-25550

CHAPTER 1. Civil Liability

CHAPTER 2. Powers of the Commissioner

CHAPTER 3. Crimes

CHAPTER 4. Service of Process

PART 7. ADMINISTRATION

PART 8. GENERAL PROVISIONS

DIVISION 2. SECURITY OWNERS PROTECTION

27000-27202

CHAPTER 1. Definitions and General Provisions

CHAPTER 2. Unlawful and Fraudulent Conduct

CHAPTER 3. Civil Liability and Crimes

DIVISION 3. CAPITAL ACCESS COMPANIES

28000-28958

CHAPTER 1. General Provisions

28000-28049

ARTICLE 1. Short Title and Construction

ARTICLE 2. Definitions

CHAPTER 2. Administration

CHAPTER 3. Licensing

CHAPTER 4. Organizational Matters

28200-28212

ARTICLE 1. Organization and Name

ARTICLE 2. Directors

CHAPTER 5. Offices

28320

ARTICLE 1. Establishing, Relocating, and Closing Offices

CHAPTER 6. Transaction of Business

CHAPTER 7. Records, Reports, and Examinations

CHAPTER 8. Acquisition of Control

CHAPTER 9. Merger and Purchase or Sale of Business

CHAPTER 10. Voluntary Surrender of License

CHAPTER 11. Enforcement

CHAPTER 12. Crimes and Criminal Penalties

28800-28881

ARTICLE 1. General Provisions

ARTICLE 2. Conflicts of Interest

ARTICLE 3. Criminal Penalties

CHAPTER 13. Civil Penalties

CHAPTER 14. Miscellaneous Provisions

DIVISION 4. BUCKET SHOP LAW

29000-29201

CHAPTER 1. Definitions

CHAPTER 2. Prohibited Activities

CHAPTER 3. Required Records and Statements

DIVISION 4.5. COMMODITIES

29500-29567

CHAPTER 1. Definitions

CHAPTER 2. Unlawful Commodity Transactions

CHAPTER 3. Exemptions

CHAPTER 4. Unlawful Activities and Fraudulent Conduct

CHAPTER 5. Powers of the Commissioner

CHAPTER 6. Crimes and Civil Liability

CHAPTER 7. Miscellaneous Provisions

DIVISION 5. FRANCHISE INVESTMENT LAW

31000-31516

PART 1. DEFINITIONS

PART 2. REGULATION OF THE SALE OF FRANCHISES

31100-31157

CHAPTER 1. Exemptions

CHAPTER 2. Disclosure

CHAPTER 3. General Provisions

PART 3. FRAUDULENT AND PROHIBITED PRACTICES

31200-31220

CHAPTER 1. Fraudulent Practices

CHAPTER 2. Prohibited Practices

CHAPTER 3. Unfair Practices

PART 4. ENFORCEMENT

31300-31420

CHAPTER 1. Civil Liability

CHAPTER 2. Powers of the Commissioner

CHAPTER 3. Crimes

CHAPTER 4. Service of Process

PART 5. ADMINISTRATION

PART 6. GENERAL PROVISIONS

Disclaimer: These codes may not be the most recent version. California may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.