Article 8. Licensing of Broker-Dealers and Agents
- § 260.200. Designation of Institutional Investors and Governmental Agencies and Instrumentalities by Class.
- § 260.204. Brokers Effecting Transactions in Certain Securities Exempt Under Federal Law. [Repealed]
- § 260.204.1. Real Estate Brokers Effecting Transactions in Securities.
- § 260.204.2. Exemption for Certain Investment Advisers.
- § 260.204.3. Exemption for Certain Real Estate Salesmen. [Repealed]
- § 260.204.4. Commodity Contract Sales. [Repealed]
- § 260.204.5. Merger and Acquisition Specialists.
- § 260.204.6. Licensed Lenders.
- § 260.204.7. State Teachers' Retirement System.
- § 260.204.8. Limited Exemption for Commodity Trading Advisers.
- § 260.204.9. Certificate Exemption for Investment Advisers to Private Funds.
- § 260.204.10. Certain Canadian Broker-Dealers; Agents.
- § 260.204.11. Pacific Exchange, Inc. [Repealed]
- § 260.204.12. Capital Access Company.
- § 260.210. Agent Procedures for Broker-Dealers.
- § 260.211. Application for Broker-Dealer Certificate.
- § 260.211.1. Application for License by Notification.
- § 260.211.2. Expiration of Broker-Dealer Certificates.
- § 260.211.3. Waiver of Denial or Revocation Under Section 25211(b) of the Code.
- § 260.211.4. Exemption for Finders: Form.
- § 260.211.5. Annual Renewal of Exemption for Finders: Form.
- § 260.211.6. Notification of Withdrawal: Finder.
- § 260.211.7. Maintenance of Records.