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§ 260.204.8. Limited Exemption for Commodity Trading Advisers.

10 CA ADC § 260.204.8BARCLAYS 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 § 260.204.8
§ 260.204.8. Limited Exemption for Commodity Trading Advisers.
Commodity trading advisers registered under the federal Commodity Exchange Act, as amended, are exempt from the provisions of Section 25230 of the Code when advising or exercising trading discretion, or both advising and trading, with respect to foreign currency options listed and traded exclusively on the Philadelphia Stock Exchange.
Note: Authority cited: Sections 25204 and 25610, Corporations Code. Reference: Sections 25204 and 25230, Corporations Code.
HISTORY
1. New section filed 8-3-95; operative 9-2-95 (Register 95, No. 31).
This database is current through 5/6/22 Register 2022, No. 18
10 CCR § 260.204.8, 10 CA ADC § 260.204.8
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