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§ 260.204.5. Merger and Acquisition Specialists.

10 CA ADC § 260.204.5BARCLAYS OFFICIAL CALIFORNIA CODE OF REGULATIONS

Barclays Official California Code of Regulations Currentness
Title 10. Investment
Chapter 3. Commissioner of Financial Protection and Innovation
Subchapter 2. Corporate Securities
Article 8. Licensing of Broker-Dealers and Agents (Refs & Annos)
10 CCR § 260.204.5
§ 260.204.5. Merger and Acquisition Specialists.
An exemption from the provisions of Section 25210 of the Code is hereby granted, as being necessary and appropriate in the public interest and for the protection of investors, to any person who effects transactions in securities in this state only in connection with mergers, consolidations or purchases of corporate assets, and who does not receive, transmit, or hold for customers any funds or securities in connection with such transactions.
Note: Authority cited: Sections 25204 and 25610, Corporations Code. Reference: Section 25204, Corporations Code.
HISTORY
1. New section filed 3-1-74; effective thirtieth day thereafter (Register 74, No. 9).
2. Editorial correction of NOTE filed 4-6-83 (Register 83, No. 15).
This database is current through 5/6/22 Register 2022, No. 18
10 CCR § 260.204.5, 10 CA ADC § 260.204.5
End of Document