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§ 260.211.3. Waiver of Denial or Revocation Under Section 25211(b) of the Code.

10 CA ADC § 260.211.3BARCLAYS 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 § 260.211.3
§ 260.211.3. Waiver of Denial or Revocation Under Section 25211(b) of the Code.
Pursuant to the provisions of Section 25211(b) of the Code, the Commissioner waives in the public interest as a bar to issuance of a broker-dealer certificate by notification any revocation of a broker-dealer certificate pursuant to the provisions of subdivision (b) or (c)(1) of Section 25242 of the Code, or pursuant to a provision of a predecessor statute of substantially identical import or effect.
Note: Authority cited: Sections 25211(b), (c) and 25610, Corporations Code. Reference: Section 25211, Corporations Code.
HISTORY
1. New section 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).
This database is current through 5/6/22 Register 2022, No. 18
10 CCR § 260.211.3, 10 CA ADC § 260.211.3
End of Document